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Showing 411 to 420 of 13446 search results for FCA regulated entity.

  1. Brexit briefings for regulated firms

    News stories Published: 15/02/2019 Last modified: 25/03/2019
    We hosted 2 briefings for regulated firms in preparation for the UK leaving the European Union. These took place in London and Edinburgh with live webcasts.

  2. Market Watch 78

    Newsletters Published: 09/04/2024 Last modified: 09/04/2024
    Newsletter on market conduct and transaction reporting issues, March 2024.

  3. Panels

    Last modified: 18/01/2024
    The Panels provide challenge and advice to the FCA on its work. Find out more about each panel.

  4. Consumer credit income – what to report

    Tasks for firms Published: 24/10/2017 Last modified: 03/05/2024
    See how the FCA charges consumer credit firms annual fees based on the data in the CCR002 or CCR007.

  5. Depositaries

    Focus areas Published: 08/06/2016 Last modified: 01/02/2023
    How to apply to act as a depositary of an authorised or unauthorised Alternative Investment Fund.

  6. FCA consults on 2015/16 fees for regulated firms

    Press Releases Published: 26/03/2015 Last modified: 26/03/2015
    FCA consults on 2015/16 fees for regulated firms. Press Releases First published:. ... The Financial Conduct Authority (FCA) is consulting on fees for regulated firms for the 2015/16 financial year.

  7. UK Securities Financing Transactions Regulation (UK SFTR)

    Markets Markets policy Published: 11/03/2020 Last modified: 31/03/2022
    The UK Securities Financing Transactions Regulation (SFTR) introduces requirements to improve transparency and monitor the risks associated with the securities financing transactions market.

  8. 5 questions to ask before you invest

    InvestSmart Last modified: 07/09/2023
    To help you make better decisions, take time to understand both the opportunities and risks of any investment you’re considering.

  9. Form E - Internal transfer of a permission performing a controlled function for dual-regulated firms [docx]

    Forms Published: 26/11/2021 Last modified: 07/06/2023
    Form E - Internal transfer of a permission performing a controlled function for dual-regulated firms

  10. Form E - Internal transfer of a permission performing a controlled function for solo-regulated firms [docx]

    Forms Published: 26/11/2021 Last modified: 13/04/2023
    Form E - Internal transfer of a permission performing a controlled function for solo-regulated firms