Insurance broker banned for misleading regulator
The Financial Services Authority (FSA) has banned a self-appointed insurance broking director from performing regulated functions after he "misled" the regulator and acted dishonestly.
Derek Wright, previously banned from all Lloyds premises for diverting client money, was a director of Romford-based Moorgate Insurance Agencies - despite never having been approved by the watchdog to...
More on Regulation
Investment Association eyes Global and Specialist sectors split
Expected by Q2 2021
FCA issues data request to 65 advisers over Rolls-Royce DB pension scheme
Rolls-Royce to cut 9,000 jobs
Advisers urged to complete directory data submission before Christmas
Data live from December
Simone Gallo: When MiFID II and ESG collide
'No stone will be left unturned by regulators'
FCA opens applications for Covid-19 regulatory sandbox
Scams prevention given weight
More news
Fred Mahon: The maths of standing still
Reasons to be optimistic in 2021
What is the FCA's new DB advice assessment tool 'DBAAT'?
The Financial Conduct Authority (FCA) has published a defined benefit (DB) transfer tool which it said should help firms understand its file review methodology for DB transfer advice. But what exactly is it and why should advisers care?
FCA denies 12 advice firms authorisation following phoenixing suspicions
131 firms have authorisations revoked