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Showing 151 to 160 of 13446 search results for FCA regulated entity.

  1. Senior management functions

    Tasks for regulated firms Published: 12/05/2015 Last modified: 08/12/2022
    Learn about senior management functions (SMFs) and how we assess them.

  2. Financial promotions quarterly data 2023 Q4

    Data Published: 14/02/2024 Last modified: 15/02/2024
    We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 October 2023 and 31 December 2023.

  3. Capital Way/Eastridge Capital

    Warnings Published: 08/09/2020 Last modified: 08/09/2020
    Capital Way/Eastridge Capital is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals.

  4. FSA requires action of the HSBC Group

    Documents Published: 08/03/2013 Last modified: 15/08/2014
    The Financial Services Authority (FSA), as lead regulator for the HSBC Group globally, is taking action in relation to issues in respect of HSBC’s compliance with anti-money laundering rules and US sanctions requirements.

  5. Consumer investments data review April 2021 – March 2022

    Data Published: 18/10/2022 Last modified: 13/06/2023
    A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2021 and 31 March 2022.

  6. PRIIPs Regulation

    Tasks for regulated firms Published: 03/12/2015 Last modified: 13/02/2023
    Regulations for packaged retail investment products (PRIIPs) began in January 2018. Learn more about the definitions of PRIIPs products and who this regulation affects.

  7. INTERNATIONAL CAPITAL MARKETS (Clone firm)

    Warnings Published: 07/01/2022 Last modified: 28/01/2022
    INTERNATIONAL CAPITAL MARKETS (Clone firm) is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals.

  8. FCA action in respect of Park First Limited

    News stories Published: 04/12/2017 Last modified: 27/06/2019
    Park First Limited and related entities (Park First) have been promoting and operating airport car parking investment schemes and we have been in discussions with them regarding the schemes.

  9. Repeal and replacement of assimilated law

    Firms Published: 13/07/2023 Last modified: 01/05/2024
    Documents on the repeal and replacement of provisions in the retained EU law.

  10. AI: Flipping the coin in financial services

    Speeches Published: 05/10/2023 Last modified: 05/10/2023
    Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at the City and Financial Global AI Regulation Summit 2023.