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Showing 361 to 370 of 464 search results for wholesale insurance broker.

  1. FCA operating service metrics 2022/23

    Data Published: 20/07/2023 Last modified: 26/02/2024
    This report sets out how the FCA performed in 2022/23 against 54 operating service metrics, including how it dealt with regulatory applications, telephone enquiries and other correspondence.

  2. Information on insider dealing and breaches of the FCA Handbook - May 2022

    FOI Release Date of Release: 23/05/2022
    The FCA provides information on Number of people sanctioned, fined, reprimanded or excluded for breaching FCA Handbook Rules and insider dealing.

  3. FCA publishes terms of reference for asset management market study

    Press Releases Published: 18/11/2015 Last modified: 18/11/2015
    This followed feedback received as part of the wholesale sector competition review in 2014 which indicated there might be competition issues in asset management. ... The FCA undertook a review of competition in wholesale markets to identify whether there

  4. Atlantic Assets Trust (clone of EEA authorised firm)

    Warnings Published: 24/11/2020 Last modified: 24/11/2020
    Atlantic Assets Trust (clone of EEA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm and

  5. Information related to Covid-specific whistleblower allegations - November 2021

    FOI Release Date of Release: 09/11/2021
    The FCA responds to multiple questions regarding Covid-specific whistleblower allegations.

  6. FCA bans Jon Frensham from working in financial services

    Press Releases Published: 17/09/2021 Last modified: 17/09/2021
    The FCA has banned director Jon Frensham (formerly known as Jonathan James Hunt) from performing any regulated activity

  7. Information on employment of section 166 powers - January 2022

    FOI Release Date of Release: 04/01/2022
    The FCA provides data on cases it used the section 166 power to commission a skilled person review in relation to financial crime.

  8. Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation

    Press Releases Published: 31/03/2014 Last modified: 01/04/2014
    The Business Plan also confirmed that a series of new thematic reviews into the conduct of wholesale banking and investment management firms would be undertaken. ... insurance and reviewing the sales practices and disclosures when selling premium finance

  9. Open Finance: an opportunity for financial services

    Speeches Published: 18/11/2019 Last modified: 18/11/2019
    Speech by Sheldon Mills, Director of Competition at the FCA, delivered at The Investments and Savings Alliance​​​​​​​ (TISA) Open Finance Conference, London.

  10. Fighting financial crime – the force multiplier effect

    Speeches Published: 07/09/2022 Last modified: 07/09/2022
    Speech by Sarah Pritchard, Executive Director, Markets, FCA at the Financial Crime Summit – 1LOD.
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