Tag - client money

FCA outlines supervision strategy for CMCs

Laura Wiles

30/01/2025

Insurance broker fined and banned for misuse of insurer funds

Emma Radmore

12/11/2024

FCA restricts ISA Manager business over platform failings

Emma Radmore

23/10/2024

FCA censures auditor for client asset report failings

Emma Radmore

15/08/2024

FCA fines and bans individual for dishonest and reckless conduct

Harry Wells

14/08/2024

FCA publishes final rules for Dormant Assets Scheme

Harry Wells

02/08/2024

FCA consults on dormant assets rule changes

Emma Radmore

22/05/2023

FCA writes to insurance intermediaries on client money

Emma Radmore

02/07/2021

FCA fines Charles Schwab over client asset failings

Emma Radmore

21/12/2020

FCA writes to investment and insurance CEOs on client assets and Covid-19

Emma Radmore

30/09/2020

FCA stresses client money protection priorities

Emma Radmore

13/08/2020

FCA publishes final notices on client money

FIN. Team

30/08/2018

FCA publishes decision notices on client money

Emma Radmore

30/01/2018

FCA publishes policy statement on client money and unbreakable deposits

Emma Radmore

24/01/2018

FCA consults further on CASS 7A changes

26/01/2017

FCA fines Aviva for client money failings

Emma Radmore

13/10/2016

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