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Showing 431 to 440 of 13446 search results for FCA regulated entity.

  1. Briefing on the FCA’s consultation on its reward offer and trade union recognition

    Last modified: 17/11/2021
    On 22 September, we began consulting with colleagues on our future reward offer. The offer ensures the FCA continues to provide one of the best employment packages of any regulator or enforcement agency in the UK.

  2. FCA list of regulated markets [pdf]

    Published: 17/12/2020
    List of third-country markets considered as equivalent to a UK regulated market under UK EMIR.

  3. 2023 fines

    News stories Published: 12/01/2023 Last modified: 04/04/2024
    Enforcement fines published in 2023.

  4. PS21/23: Enhancing climate-related disclosures by standard listed companies [pdf]

    Policy statements Published: 17/12/2021
    We are extending the application of our climate‑related financial disclosure requirements to issuers of standard listed shares and Global Depositary Receipts (GDRs) representing equity shares (excluding tandard‑listed investment entities

  5. Regulated retail investment adviser re-evaluation

    Statements Published: 05/09/2018 Last modified: 21/09/2018
    Regulated retail investment adviser re-evaluation. Statements First published:. 05/09/2018. Last updated: 21/09/2018. ... The CII will make the ‘Regulated Retail Investment Adviser Re-Evaluation’ available from 1 October 2018 and the assessment aims

  6. Copy trading

    Tasks for regulated firms Published: 12/05/2015 Last modified: 09/02/2023
    Copy trading allows investors to trade by automatically copying another investor's trades, and this is often classed as portfolio or investment management.

  7. List of regulated insurers - March 2021

    FOI Release Date of Release: 19/03/2021
    The FCA provides a list that contains all insurance companies that are currently authorised by the FCA and also contains all of the Lloyd's Managing Agents who manage the Syndicates that also provide insurance and reinsurance to customers in the UK.

  8. Obatan LLC

    Statements Published: 19/05/2022 Last modified: 19/05/2022
    The FCA published an alert in relation to Obatan LLC on 22 April 2022. That alert was removed on 16 May 2022.

  9. FSA - PS10/2 [pdf]

    Policy statements Published: 26/02/2010 Last modified: 30/05/2013
    Policy FSA - PS10/2 - This Policy Statement PS10/2 reports on the main issues arising from Consultation Paper 09/24 and Consultation Paper 09/28 and publishes final rules.

  10. FSA - FG11/3 [pdf]

    Finalised guidance Published: 18/01/2011 Last modified: 20/10/2014
    ALM is a key management function that spans the entire legal entity and group, as appropriate. The exact scope of ALM can vary – for example, oversight for non-traded market (interest) risk in the banking book might be the responsibility of a