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 0800 111 6768 from the UK or +00 00 0000 0000 from abroad 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 Mercia Marine (Underwriting) Ltd are authorised to act on the behalf of a single or limited number of insurers to provide quotations, effect cover, issue policy documentation and collect & process premiums for the following insurance policy products identified as ‘Lock & Quay’ ‘Quadrant’, ‘Quadrant Dinghy’ and ‘Quadrant Houseboat’ Policy Wording (collectively known as our Own Branded Policy). If we provide insurance for you under these arrangements we act as the agent of the insurer(s). We do not provide advice to you, but 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. If we find that your requirements cannot be met under our Own Branded Product , we will act on your behalf as an independent insurance intermediary and act as your agent and provide advice. We are subject to the law of agency, which imposes various duties on us. However, in certain circumstances we may act for and owe duties of care to other parties. We will advise you when these circumstances occur so you will be aware of any possible conflict of interest. In relation to the general insurance products we offer, we may provide advice, or information: • On the basis of a fair analysis of the market; or • From a limited number of insurers; or • From a single insurer. Where we offer products from a limited range of insurers, o...
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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. 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.
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Financial Conduct Authority. 12.1 We are authorised and regulated by the F.C.A. (Firm FSA Ref No: 537923) 12.2 You warrant that You are authorised by the UK Regulator (or other EEA regulatory body) to conduct insurance mediation activities (as defined in the UK Regulator’s Handbook) from the date of this Agreement. 12.3 You shall comply with the F.S.M.A. and all rules to which You are subject including all requirements relating to authorisation and supervision in respect of Your insurance mediation activities. You shall notify Us immediately if there is a change in Your regulatory status. 12.4 We shall comply with the F.C.A.'s rules as they apply to Us and provide You with the necessary information and documentation in a timely manner to enable You to comply with the F.C.A.'s rules as they apply to You. 12.5 You shall provide annual financial statements and/or management accounts, or a declaration that you continue to satisfy the capital requirements as set out in MIPRU4 of the Financial Services Authority’s Handbook . 12.6 If You cease to be authorised by the F.C.A. We may at our option either: a) deal direct with the Client or b) transfer the Client to another intermediary authorised by the F.C.A. 12.7 You undertake to notify Us in writing immediately in the following circumstances: a) variation or cancellation of Your Part IV permission by the F.C.A.; b) variation or cancellation by the F.C.A. of the Part IV permission of your agents or sub-agents;
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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 xxx.xxx.xxx.xx/xxxxx/xxxxxxx- reporting/register or by contacting the FCA on 0800 111 6768. Our Financial Services Register number is 595238. 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 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. We believe in ethical behaviour and the provision of exceptional customer service. 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 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 We offer products from a limited number of insurers for: • Professional Indemnity Insurance • Medical Malpractice Insurance • Management Liability • General Liability
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Financial Conduct Authority. References in this document to FCA and/or the Rules appearing in this Agreement refer to: -
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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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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
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Related to Financial Conduct Authority

  • 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) Each of the Companies and their Subsidiaries have timely filed or furnished, as applicable, all reports, registrations, statements and certifications, together with any amendments required to be made with respect thereto, that they were required to file or furnish, as applicable, since January 1, 2006 with (i) any state regulatory authority, (ii) the SEC, (iii) any foreign regulatory authority, and (iv) any self-regulatory authority, (collectively, “Regulatory Agencies”) and with each other applicable Governmental Entity, and all other reports and statements required to be filed or furnished by them since January 1, 2006, 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 Regulatory Agency or other Governmental Entity, and have paid all fees and assessments due and payable in connection therewith. Except as set forth in Section 3.5 of the Company Disclosure Schedule, no Regulatory Agency or other Governmental Entity has initiated since January 1, 2006 or has pending any proceeding, enforcement action or, to the knowledge of Seller, investigation into the business, disclosures or operations of any of the Companies or any of its Subsidiaries. Since January 1, 2006, no Regulatory Agency or other Governmental Entity has resolved any proceeding, enforcement action or, to the knowledge of Seller, investigation into the business, disclosures or operations of any of the Companies or any of its Subsidiaries. There is no unresolved, or, to Seller’s knowledge, threatened criticism, comment, exception or stop order by any Regulatory Agency or other Governmental Entity with respect to any report or statement relating to any examinations or inspections of any of the Companies or any of its Subsidiaries. Since January 1, 2006, there have been no formal or informal inquiries by, or disagreements or disputes with, any Regulatory Agency or other Governmental Entity with respect to the business, operations, policies or procedures of any of the Companies or any of its Subsidiaries (other than normal inquiries made by a Regulatory Agency or other Governmental Entity in the Companies’ ordinary course of business). (b) No Company nor any of its Subsidiaries is subject to any cease-and-desist or other order or enforcement action issued by, or is a party to any written agreement, consent agreement or memorandum of understanding with, or is a party to any commitment letter or similar undertaking to, or is subject to any order or directive by, or has been ordered to pay any civil money penalty by, or has been since January 1, 2006 a recipient of any supervisory letter from, or since January 1, 2006 has adopted any policies, procedures or board resolutions at the request or suggestion of, any Regulatory Agency or other Governmental Entity that currently restricts or affects in any material respect the conduct of its business (or to Seller’s knowledge that, upon consummation of the transactions contemplated hereby, would restrict in any material respect the conduct of the business of either Buyer or any of its Subsidiaries), or that in any material manner relates to its capital adequacy, its ability to pay dividends, its credit, risk management or compliance policies, its internal controls, its management or its business, other than those of general application that apply to similarly situated companies or their Subsidiaries (each item in this sentence, a “Company Regulatory Agreement”), nor has any of the Companies or any of their Subsidiaries been advised since January 1, 2006 by any Regulatory Agency or other Governmental Entity that it is considering issuing, initiating, ordering, or requesting any such Company Regulatory Agreement. (c) Seller has previously made available to Buyers an accurate and complete copy of each (i) final registration statement, prospectus, report, schedule and definitive proxy statement filed with the SEC by Seller pursuant to the Securities Act or the Securities Exchange Act of 1934, as amended (the “Exchange Act”) since January 1, 2006 (the “Seller SEC Reports”) and prior to the date of this Agreement and (ii) communication mailed by Seller to its shareholders since January 1, 2006 and prior to the date of this Agreement. No such Seller SEC Report or communication, at the time filed or communicated (or, if amended prior to the date hereof, as of the date of such amendment), with respect to the Companies and their Subsidiaries only, contained any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary in order to make the statements made therein, in light of the circumstances in which they were made, not misleading. To the knowledge of Seller, other than as set forth in Section 3.5 of the Company Disclosure Schedule, none of the Seller SEC Reports is the subject of any ongoing review or investigation by the SEC or any other Governmental Entity and there are no unresolved SEC comments with respect to any of such documents.

  • Regulatory Compliance Neither Borrower nor any of its Subsidiaries is an “investment company” or a company “controlled” by an “investment company” under the Investment Company Act of 1940, as amended. Neither Borrower nor any of its Subsidiaries is engaged as one of its important activities in extending credit for margin stock (under Regulations X, T and U of the Federal Reserve Board of Governors). Borrower and each of its Subsidiaries has complied in all material respects with the Federal Fair Labor Standards Act. Neither Borrower nor any of its Subsidiaries is a “holding company” or an “affiliate” of a “holding company” or a “subsidiary company” of a “holding company” as each term is defined and used in the Public Utility Holding Company Act of 2005. Neither Borrower nor any of its Subsidiaries has violated any laws, ordinances or rules, the violation of which could reasonably be expected to have a Material Adverse Change. Neither Borrower’s nor any of its Subsidiaries’ properties or assets has been used by Borrower or such Subsidiary or, to Borrower’s knowledge, by previous Persons, in disposing, producing, storing, treating, or transporting any hazardous substance other than in material compliance with applicable laws. Borrower and each of its Subsidiaries has obtained all consents, approvals and authorizations of, made all declarations or filings with, and given all notices to, all Governmental Authorities that are necessary to continue their respective businesses as currently conducted. None of Borrower, any of its Subsidiaries, or any of Borrower’s or its Subsidiaries’ Affiliates or any of their respective agents acting or benefiting in any capacity in connection with the transactions contemplated by this Agreement is (i) in violation of any Anti-Terrorism Law, (ii) engaging in or conspiring to engage in any transaction that evades or avoids, or has the purpose of evading or avoiding or attempts to violate, any of the prohibitions set forth in any Anti-Terrorism Law, or (iii) is a Blocked Person. None of Borrower, any of its Subsidiaries, or to the knowledge of Borrower and any of their Affiliates or agents, acting or benefiting in any capacity in connection with the transactions contemplated by this Agreement, (x) conducts any business or engages in making or receiving any contribution of funds, goods or services to or for the benefit of any Blocked Person, or (y) deals in, or otherwise engages in any transaction relating to, any property or interest in property blocked pursuant to Executive Order No. 13224, any similar executive order or other Anti-Terrorism Law.

  • 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.

  • Financial Viability and Regulatory Compliance 2.6.1 Contractor warrants and represents that its corporate entity is in good standing with all applicable federal, state, and local licensing authorities and that it possesses all requisite licenses to perform the services required by this contract. Contractor further warrants and represents that it owes no outstanding delinquent federal, state or local taxes or business assessments. 2.6.2 Contractor agrees to promptly disclose to the MPHA any IRS liens or licensure suspension or revocation that may adversely affect its capacity to perform the services outlined within this contract. The failure by Contractor to disclose such issue to the MPHA in writing within 5 days of such notification received will constitute a material breach of this contract. 2.6.3 Contractor further agrees to promptly disclose to the MPHA any change of more than 50% of its ownership and/or any declaration of bankruptcy that Contractor may undergo during the term(s) of this contract. The failure of Contractor to disclose any change of more than 50% of its ownership and/or its declaration of bankruptcy within 5 days of said actions shall constitute a material breach of this contract. 2.6.4 All disclosures made pursuant to this section of the contract shall be made in writing and submitted to MPHA within the time periods required herein.

  • 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 The Borrower shall make available necessary budgetary and human resources to fully implement the EMP and the RP.

  • Regulatory Investigations TCI and TLIC agree to cooperate fully in any insurance or judicial regulatory investigation or proceeding arising in connection with Contracts distributed under this Agreement. TCI and TLIC further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to TLIC, TCI, their affiliates and their representatives to the extent that such inspection, inquiry, investigation or proceeding or judicial proceeding is in connection with Contracts distributed under this Agreement. Without limiting the foregoing: (a) TCI will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry investigation or proceeding or judicial proceeding received by TLIC with respect to TCI or any representative or which may affect TLIC’s issuance of any Contracts marketed under this Agreement; and (b) TCI will promptly notify TLIC of any customer complaint or notice of any regulatory inspection, inquiry, investigation or judicial proceeding received by TCI or any representative with respect to TLIC or its affiliates in connection with any Contracts distributed under this Agreement. In the case of a customer complaint, TCI and TLIC will cooperate in investigating such complaint and shall arrive at a mutually satisfactory response.

  • 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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