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Showing 441 to 450 of 13446 search results for FCA regulated entity.

  1. 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

  2. Gaudi Regulated Services Limited in administration

    News stories Published: 26/04/2023 Last modified: 26/04/2023
    On 25 April 2023 the directors of Gaudi Regulated Services Limited appointed Sean Bucknall and Andrew Watling of Quantuma Advisory Limited as joint administrators. The administrators are qualified insolvency practitioners.

  3. Dual-regulated firms Remuneration Code (SYSC 19D)

    Tasks for firms Published: 21/06/2015 Last modified: 05/12/2023
    How SYSC 19D applies to dual-regulated firms, comprising banks, building societies and PRA-designated investment firms.

  4. Wirecard can resume regulated activity

    News stories Published: 26/06/2020 Last modified: 29/06/2020
    Wirecard Card Solutions Limited (Wirecard) is authorised and supervised by the FCA to issue e-money and provide payment services including, issuing e-money onto prepaid cards.

  5. UK EMIR notifications and exemptions

    Markets policy Published: 24/05/2016 Last modified: 17/07/2023
    Notifications and applications under UK European Market Infrastructure Regulation (UK EMIR) fall into certain categories. Learn more about these notifications, applications and relevant technical standards.

  6. Handbook of rules and guidance

    About us How we regulate Published: 21/04/2016 Last modified: 24/08/2021
    All regulated firms must comply with our rules as set out in the FCA Handbook.

  7. Cancel or dissolve your society

    Mutual societies Published: 11/05/2015 Last modified: 24/02/2023
    How to cancel or dissolve a society.

  8. Markets

    Markets Last modified: 24/05/2023
    FCA Markets landing page.

  9. UK AIFM application process

    Firms Published: 08/06/2016 Last modified: 08/02/2023
    Find out how to make a UK AIFM application.

  10. A Better View

    Speeches Published: 20/09/2017 Last modified: 20/09/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017