Tag - client money

FCA censures Sapia over WealthTek failings

23/04/2026

Abstract image of yellow umbrella in rain

Court approves distribution scheme for failed insurance broker client monies

15/04/2026

Upwards photo of bank or finance building columns

FCA places restrictions on debt management firm

20/03/2026

FCA stops wealth manager from carrying on any regulated activities

23/05/2025

FCA identifies first set of unnecessary data reporting

16/04/2025

FCA outlines supervision strategy for CMCs

30/01/2025

Insurance broker fined and banned for misuse of insurer funds

12/11/2024

FCA restricts ISA Manager business over platform failings

23/10/2024

FCA censures auditor for client asset report failings

15/08/2024

FCA fines and bans individual for dishonest and reckless conduct

14/08/2024

FCA publishes final rules for Dormant Assets Scheme

02/08/2024

FCA consults on dormant assets rule changes

22/05/2023

FCA writes to insurance intermediaries on client money

02/07/2021

FCA fines Charles Schwab over client asset failings

21/12/2020

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

30/09/2020

FCA stresses client money protection priorities

13/08/2020

FCA publishes final notices on client money

FCA publishes final notices on client money

30/08/2018

FCA publishes decision notices on client money

FCA publishes decision notices on client money

30/01/2018

FCA publishes policy statement on client money and unbreakable deposits

FCA publishes policy statement on client money and unbreakable deposits

24/01/2018

FCA consults further on CASS 7A changes

FCA consults further on CASS 7A changes

26/01/2017

FCA fines Aviva for client money failings

FCA fines Aviva for client money failings

13/10/2016