Compliance
Secret FCA warnings issued to brokers revealed
The regulator confirmed that 18 senior broking executives received private warnings between 2011 and 2017 compared to one insurer boss.
News analysis: Brokers urged to check FCA warnings
Regulator’s list of unauthorised firms is “useful and accessible” for brokers, says compliance expert
Opinion: Mike Cranny on regulation
Uncertain times: Parliament and the regulator have been busy recently, but the best best way to cope with the uncertainty is “business as usual”, says Mike Cranny
Experts urge brokers to abide by the rules following Towergate's £2.6m fine
The FCA says it has previously issued warnings to the industry on the importance of complying with client money rules.
Biba 2015 Video: Regulatory Efficiency Gains
Michael Phair, director of Regulatory Efficiency Gains tells all about how its products can help brokers with compliance and risk assessment.
Smaller brokers should prepare for impact of FCA conflicts review
Compliance expert warns that whole market will be affected by review findings.
Biba to consult members over FCA add-on review
Trade body welcomes "sensible" first step.
RWA adds Jelf consultant as new compliance manager
Stokes has been charged with helping brokers meet the regulator's "exacting requirements".
Biba names Flaxmans as preferred claims advocacy partner
Trade body members can access free initial consultation with Flaxmans.
Brokers warned to "be aware" of watchdog's investment review
Warning comes after the Financial Conduct Authority issued investment incentive guidance.
Broker Network adds to BDM, compliance and marketing teams
New staff members will support transformational plans announced last year.
Regulator's gaze falls on wholesale insurance
Regulator is already engaging with insurance trade bodies about wholesale insurance.
UKGI urges brokers to provide evidence of file monitoring
Issues came to light during series of workshops.
Towergate client money issues "unforgivable"
Compliance experts deem long term misallocation of money "worrying".
UKGI to provide compliance support to Aim CoreProtect
UKGI has been appointed as preferred supplier by wholesale broker and trading platform provider Aim CoreProtect.
FCA must remember that mud sticks
This week the Financial Conduct Authority (FCA) confirmed it now has the power to publically name firms under investigation.
FCA's decision to name firms under investigation slated as "unfair"
The Financial Conduct Authority's (FCA) decision to name firms under investigation has been criticised as "calculated to gain publicity".
FCA to name firms under investigation
The regulator has confirmed that it will now name firms under investigation.
Peter Staddon joins MGAA as MD
The Managing General Agents' Association (MGAA) has appointed Peter Staddon as its first managing director, effective from 1 November.
New compliance firm aims to be "one-stop shop"
A new regulatory consulting firm has launched this month to act as a "first-choice" advisor and "one-stop shop" on regulation and compliance issues for firms in general insurance and legal services.
Expertise Live: Going green
The latest Expertise Live event, held in association with Zurich, focused on real estate, energy and sustainability.
Biba's new compliance chief urges FCA to back off brokers
The new compliance chief of the British Insurance Brokers' Association (Biba) David Sparkes has vowed to fight for more "proportional regulation".
Aviva warns brokers of panel withdrawal over premium finance
Brokers have been urged to be "suspicious" of Aviva's new stance within personal lines which states that the service Finance from Aviva "must be offered as an option" to clients.
Swinton defends private car renewal deposit scheme
Swinton has defended its use of a private car renewal deposit scheme which has been described as "questionable" by regulation experts.