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Showing 451 to 460 of 13446 search results for FCA regulated entity.

  1. Cancel or dissolve your society

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

  2. Enforcement

    About us How we regulate Published: 22/04/2016 Last modified: 22/10/2021
    Find out more about FCA enforcement powers, including how we protect consumers and act against firms and individuals that don’t meet our standards.

  3. 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

  4. Final Notice 2023: Equifax Limited [pdf]

    Final notices Published: 13/10/2023
    This Final Notice relates to the outsourcing of data processing to an intragroup entity which experienced a data breach. The Final Notice refers to risk management failings (Principle 3) and failings in relation to treating customers fairly and

  5. Firms

    Firms Last modified: 27/07/2022
    Tasks for regulated firms and authorisation information for new firms

  6. Market Watch 74

    Newsletters Published: 25/07/2023 Last modified: 25/07/2023
    n this Market Watch, we describe some of our recent supervisory observations, covering RTS 22 transaction reporting and the submission of financial instrument reference data under RTS 23.

  7. The fight against skimmers and scammers

    Speeches Published: 05/09/2019 Last modified: 05/09/2019
    Speech by Charles Randell, Chair of the FCA, delivered at the Cambridge Economic Crime Symposium.

  8. FCA Connect

    Registers and systems Published: 03/05/2016 Last modified: 09/02/2023
    FCA Connect is our user management system for you to submit applications and notifications. Use it to notify us about approved persons or suspicious transactions or apply for MiFID II.

  9. Information on FCA regulated firms - October 2022

    FOI Release Date of Release: 18/10/2022
    The FCA provide information on FSMA.

  10. Appropriate Examinations: Mortgage Advice [pdf]

    Documents Published: 19/01/2009 Last modified: 03/08/2016
    Standards for Appropriate Examinations for those advising a customer on a regulated mortgage contract