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Showing 41 to 50 of 464 search results for wholesale insurance broker.
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Investor protection under MiFID II
Speech by David Geale, Director of Policy, FCA, delivered at the FCA MiFID II Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
2019 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2019. -
Speech: Shadow banking - the potential risks and rewards
For brevity, I list the institutions only:. global banks. broker-dealers. money market mutual funds. ... banking market, where M&G acted as broker between H&W and underlying providers of funds. -
PS17/21: Insurance Distribution Directive implementation – Feedback to CP17/7 and near-final rules
This is our first Policy Statement setting out our near final rules for our implementation of the Insurance Distribution Directive (IDD). -
Information for general insurers and intermediaries in the UK
A focus for UK-based general insurers is minimising the disruption for EEA-based customers (including expats), or policies with certain EEA risks. -
Investor relations in an increasingly regulated and international world
Speech by David Lawton, Director of Markets, the FCA, to the Investor Relations Society Annual Conference, on 18 June 2013. -
Improving the Appointed Representatives regime through greater use of data
This publication includes data from the FCA's 2021 and 2022 data requests sent to principal firms and authorisation information collected from firms. It also outlines how the FCA is improving the Appointed Representatives’ Regime (AR) regime and -
Investor protection in the UK: New tools, new challenges
Speech by Maggie Craig, Acting Head of Savings and Investments, at the FCA MiFID II Conference 2014. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA finds small firms need to manage financial crime risks more effectively
The Financial Conduct Authority (FCA) has found that many small banks and commercial insurance intermediaries fail to effectively manage financial crime risk. -
Financial services regulation and enforcement: recent developments and emerging issues
Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version.