Financial Conduct Authority Sample Clauses

Financial Conduct Authority. We are authorised and regulated by the Financial Conduct Authority (FCA). Our FCA Reference number is 304948. We are permitted to advise on, arrange and deal as agent of insurers and clients for general insurance contracts. You may check this information on the FCA Register by visiting the FCA website xxx.xxx.xxx.xx or by phoning the FCA on 0300 500 8082 from the UK or +00 00 0000 0000 from abroad Our Service Mercia Marine (Underwriting) Ltd will:  Act fairly and reasonably when dealing with our clients  Make sure that information provided is clear, fair and not misleading  Give adequate explanation to enable clients to make informed decisions  Ensure our service meets FCA requirements  Handle claims and complaints fairly and promptly  Identify and deal with conflicts of interest in accordance with our established procedures Explaining our service We do not provide advice for insurance Products transacted via our website Where you chose to purchase an insurance product sold by us via our website, we do not provide advice to you, we will inform you of the main features of these products and the services we offer you including details of the provider, main details of the cover and benefits, any unusual restrictions or exclusions, any significant conditions or obligations and the period of cover. Unless otherwise agreed, any quotation given will remain valid for a period of thirty (30) days from the date of issue of the quotation. Mercia Marine (Underwriting) Ltd are authorised to act on the behalf of a single insurer to provide quotations, effect cover, issue policy documentation and collect & process premiums for the following insurance policy products identified as ‘Quadrant’, ‘Quadrant Dinghy’ and ‘Quadrant Houseboat’ Policy Wording (collectively known as our Own Branded Policy). Under these arrangements we act as the agent of the insurer(s). We check the financial strength of the insurers with whom we place business by reference to appropriate published Insurer Credit Ratings. However, it should be noted that the claims-paying ability of even the strongest insurers can be affected by adverse business conditions. Therefore, we cannot guarantee the solvency of any insurer or underwriter You will be provided with a statement setting out your demands and needs. This statement will be incorporated within your insurance documentation. Our Remuneration We are usually remunerated by brokerage, which is a percentage of the insurance premium paid by you and ...
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Financial Conduct Authority. The Financial Conduct Authority of 00 Xxxxxxxxx Xxxxxx, Xxxxxx X00 0XX is the supervisory authority for consumer credit agreements. TERMS AND CONDITIONS Our <Business Capital Terms & Conditions> form part of this Agreement. You should read them before entering into this Agreement and let us know if anything is unclear. BEFORE SIGNING:
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Financial Conduct Authority. 12.1 We are authorised and regulated by the F.C.A. (Firm FSA Ref No: 537923)
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Financial Conduct Authority. Graybrook Insurance Brokers Limited is authorised and regulated by the Financial Conduct Authority (FCA). The FCA regulates the financial services industry in the UK and their address is 25 Xxx Xxxxx Xxxxxxxxx, Xxxxxx Xxxxx, Xxxxxx, X00 0XX. You can check this on the Financial Services Register by visiting xxxxx://xxxxxxxx.xxx.xxx.xx/ or by contacting the FCA on 0800 111 6768 or 0300 500 8082. Our Financial Services Register number is 595238. Who we are and how to contact us Correspondence Address Graybrook Insurance Brokers Limited Telephone: 00000 000000 0 Xxxxxxxxx Xxx Fax: 00000 000000 South Xxxxxxx Ferrers Essex Email: xxxxxxx@xxxxxxxxx.xx.xx XX0 0XX Website: xxx.xxxxxxxxx.xx.xx The Company’s registered address is: 1208/1210 Xxxxxx Xxxx Xxxxx-xx-Xxx Xxxxx XX0 0XX Graybrook is a trading style of Graybrook Insurance Brokers Limited, who are Registered in England and Wales. Registered Number 4955851. Our Principles We believe in ethical behaviour and the provision of exceptional customer service. Our Commitments We will:  Ensure that all our advertising and promotional material is clear, fair and not misleading  Only advise you on matters on which we have knowledge  Seek from you the information needed to enable us to fulfil our responsibilities to you  Provide you with sufficient information to enable you to make informed decisions on your insurance  Avoid conflicts of interest, but where unavoidable, manage it to avoid prejudice to any party  Not unfairly put our own interests above our duty to you  Handle complaints fairly and promptly Scope of Services We are insurance intermediaries (brokers). Occasionally we act as the agent of another intermediary. Our services include:-  Arranging and advising on your non investment insurance needs  Providing you with information on insurance products suitable for your requirements  Negotiating insurance covers with insurers  Assisting you with ongoing changes to your requirements  Assisting you when making a claim  Arranging credit facilities for insurance payments We offer products from a limited number of insurers for:  Professional Indemnity InsuranceMedical Malpractice InsuranceManagement LiabilityGeneral Liability
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Financial Conduct Authority. 3.1 References in this document to FCA and/or the Rules appearing in this Agreement refer to: -
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Financial Conduct Authority. ACE European Group Limited, registered number 1112892 UK Head Office, 000 Xxxxxxxxxx Xxxxxx, Xxxxxx XX0X 0XX is by the Prudential Regulation Authority and authorised and regulated by the Financial Conduct Authority and the Prudential Regulation Authority. Full details can be found online at xxx.xxx.xxx.xx/xxxxxxxx/xxxxXxxxxxXxxx.xx ACE European Group Limited United Kingdom The ACE Building 000 Xxxxxxxxxx Xxxxxx Xxxxxx XX0X 0XX +00 (0) 00 0000 0000 tel +00 (0) 00 0000 0000 fax xxx.xxxxxxxx.xxx/xx ACE European Group Limited is authorised and regulated by the Financial Services Authority in the United Kingdom and is regulated by the Central Bank of Ireland for conduct of business rules. Registered in England No.1112892 Registered in Ireland No.904967
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Financial Conduct Authority. We are subject to regulation by the Financial Conduct Authority (FCA) in various regards not least the handling of investment business and advising on insurance under provisions relating to Insurance Mediation. We are therefore included on the FCA’s register and the FCA compliance officer is Xxxxxx Xxxxxx. If mediation activities are relevant in your matter we will forward to you a separate letter and further information at that stage. If you are or will be in a position of having money to invest, we can put you in touch with an Independent Financial Adviser (IFA) upon request. We will then forward to you a separate letter and further information at that stage. Please note, however, that we do not provide investment advice. You must be aware that investments can go down as well as up. One of the IFAs we may put you in touch with is Banner Xxxxx Wealth Management (BJWM). BJWM is the trading name of Banner Jones Wealth Management LLP. Whilst Banner Xxxxx Limited and some of its Directors have an interest in BJWM, BJWM is a separate entity to Banner Xxxxx Limited and is registered in England and Wales with registration number OC380075. It is not a law firm authorised or regulated by the Solicitors Regulation Authority. It is an Appointed Representative of Future Life Wealth Management Ltd which is authorised and regulated by the Financial conduct Authority. Our selection of the IFA to which you are referred will depend on what is in your best interests.
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Related to Financial Conduct Authority

  • Professional Conduct The Firm shall ensure compliance with all applicable standards of ethics and rules of professional responsibility, including the Florida Rules of Professional Conduct promulgated by the Florida Supreme Court for attorneys practicing in Florida (or similar standards applicable to attorneys practicing outside the State of Florida). Such standards include rules related to conflicts of interest and confidentiality that are intended to protect Citizens and Citizens’ information.‌‌

  • Information for Regulatory Compliance Each of the Company and the Depositary shall provide to the other, as promptly as practicable, information from its records or otherwise available to it that is reasonably requested by the other to permit the other to comply with applicable law or requirements of governmental or regulatory authorities.

  • Reports; Regulatory Matters (a) MDLY and each of its Subsidiaries have timely filed all reports, registration statements and certifications, together with any amendments required to be made with respect thereto, that they were required to file since December 31, 2014 with (i) the SEC, (ii) the NYSE, and (iii) any other applicable SRO or Governmental Entity, and all other reports and statements required to be filed by them since December 31, 2014, including any report or statement required to be filed pursuant to the laws, rules or regulations of the United States, any state, any foreign entity, or any SRO or Governmental Entity, and have paid all fees and assessments due and payable in connection therewith. Except for normal examinations of MDLY and its Subsidiaries conducted by a SRO or Governmental Entity in the ordinary course of the business, no SRO or Governmental Entity has initiated since December 31, 2014 or has pending any proceeding, enforcement action or, to the knowledge of MDLY, investigation into the business, disclosures or operations of MDLY or any of its Subsidiaries. Since December 31, 2014, no SRO or Governmental Entity has resolved any proceeding, enforcement action or, to the knowledge of MDLY, investigation into the business, disclosures or operations of MDLY or any of its Subsidiaries. There is no unresolved, or, to MDLY’s knowledge, threatened criticism, comment, exception or stop order by any SRO or Governmental Entity with respect to any report or statement relating to any examinations or inspections of MDLY or any of its Subsidiaries. Since December 31, 2014, there have been no formal or informal inquiries by, or disagreements or disputes with, any SRO or Governmental Entity with respect to the business, operations, policies or procedures of MDLY or any of its Subsidiaries (other than normal examinations conducted by a SRO or Governmental Entity in MDLY’s ordinary course of business). MDLY has made available to SIC all correspondence between MDLY or any of its Subsidiaries and the SEC, the NYSE and any other SRO or Governmental Entity since December 31, 2014.

  • Regulatory Compliance a. Monitor compliance with the 1940 Act requirements, including:

  • Governing Law, Regulatory Authority, and Rules The validity, interpretation and enforcement of this Agreement and each of its provisions shall be governed by the laws of the state of New York, without regard to its conflicts of law principles. This Agreement is subject to all Applicable Laws and Regulations. Each Party expressly reserves the right to seek changes in, appeal, or otherwise contest any laws, orders, or regulations of a Governmental Authority.

  • Authority and Compliance Borrower has full power and authority to execute and deliver the Loan Documents and to incur and perform the obligations provided for therein, all of which have been duly authorized by all proper and necessary action of the appropriate governing body of Borrower. No consent or approval of any public authority or other third party is required as a condition to the validity of any Loan Document, and Borrower is in compliance with all laws and regulatory requirements to which it is subject.

  • Human and Financial Resources to Implement Safeguards Requirements 10. The Borrower shall make available or cause the State and the DISCOMs to make available necessary budgetary and human resources to fully implement the EMP, the RP and any IPP.

  • Regulatory Investigations It shall be the Administrator’s duty and responsibility, and not the Owner Trustee’s duty and responsibility, to cause the Trust to respond to, defend, participate in or otherwise act in connection with any regulatory, administrative, governmental, investigative or other proceeding or inquiry relating in any way to the Trust, its assets or the conduct of its business.

  • Regulatory Authority If any regulatory authority having jurisdiction (or any successor boards or agencies), a court of competent jurisdiction or other Governmental Authority with the appropriate jurisdiction (collectively, the ''Regulatory Body'') issues a rule, regulation, law or order that has the effect of cancelling, changing or superseding any term or provision of this Agreement (the ''Regulatory Requirement''), then this Agreement will be deemed modified to the extent necessary to comply with the Regulatory Requirement. Notwithstanding the foregoing, if a Regulatory Body materially modifies the terms and conditions of this Agreement and such modification(s) materially affect the benefits flowing to one or both of the Parties, as determined by either of the Parties within twenty (20) business days of the receipt of the Agreement as materially modified, the Parties agree to attempt in good faith to negotiate an amendment or amendments to this Agreement or take other appropriate action(s) so as to put each Party in effectively the same position in which the Parties would have been had such modification not been made. In the event that, within sixty (60) days or some other time period mutually agreed upon by the Parties after such modification has been made, the Parties are unable to reach agreement as to what, if any, amendments are necessary and fail to take other appropriate action to put each Party in effectively the same position in which the Parties would have been had such modification not been made, then either Party shall have the right to unilaterally terminate this Agreement forthwith.

  • Regulatory Cooperation In connection with any foreclosure, collection, sale or other enforcement of Liens granted to the Administrative Agent in the Collateral Documents, Parent will, and will cause its Restricted Subsidiaries to, reasonably cooperate in good faith with the Administrative Agent or its designee in obtaining all regulatory licenses, consents and other governmental approvals necessary or (in the reasonable opinion of the Administrative Agent or its designee) reasonably advisable to conduct all aviation operations with respect to the Collateral and will, at the reasonable request of the Administrative Agent and in good faith, continue to operate and manage the Collateral and maintain all applicable regulatory licenses with respect to the Collateral until such time as the Administrative Agent or its designee obtain such licenses, consents and approvals, and at such time Parent will, and will cause its Restricted Subsidiaries to, cooperate in good faith with the transition of the aviation operations with respect to the Collateral to any new aviation operator (including, without limitation, the Administrative Agent or its designee).

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