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Showing 481 to 490 of 13447 search results for FCA regulated entity.

  1. Impact Assessment: Extending SM&CR to solo-regulated firms [pdf]

    Impact assessments Published: 16/01/2020
    This impact assessment Extending the Senior Managers & Certification Regime to solo-regulated firms relates to CP17/25, CP17/40, PS18/14 and PS19/20

  2. Product sales data - 2023

    Data Published: 27/06/2024 Last modified: 27/06/2024
    The FCA collects data from the firms it regulates on what products they are selling. Firms operating in the mortgages, retail investments or protection sectors submit product transaction data to the FCA quarterly.

  3. Primary Market Bulletin 45

    Newsletters Published: 10/08/2023 Last modified: 10/08/2023
    This edition covers 2 IFRS Sustainability Disclosure Standards that deliver, for the first time, a global reporting standard for corporate sustainability disclosures.

  4. Financial crime

    Tasks for firms Published: 30/07/2015 Last modified: 11/03/2024
    Integrity of the UK's financial markets requires the FCA to ensure firms have effective systems and controls to detect, prevent and deter financial crime. Learn from good and poor examples and browse our guide to financial crime.

  5. MoU between the FSA and the State of Michigan Office of Financial and Insurance Regulation [pdf]

    Memorandums of understanding Published: 11/06/2010 Last modified: 30/05/2013
    Memorandum of Understanding Concerning Cooperation, Coordination, Consultation and Exchange of Information Related to Persons or Entities Engaged in the Business of Insurance

  6. FCA Statement on CRD IV

    Statements Published: 20/09/2013 Last modified: 23/09/2013
    FCA Statement on CRD IV. Statements First published:. 20/09/2013. Last updated: 23/09/2013. ... Accordingly, relevant FCA prudentially regulated and PRA prudentially regulated firms should be aware of this, and carefully consider the content when

  7. MoU Concerning Consultation, Cooperation and the Exchange of Information Related to the Supervision and Oversight of Certain Cross-Border Over-the-Counter Derivatives Entities [pdf]

    Memorandums of understanding Published: 06/08/2021
    Memorandum of Understanding Concerning Consultation, Cooperation and the Exchange of Information Related to the Supervision and Oversight of Certain Cross-Border Over-the-Counter Derivatives Entities In Connection with the Use of Substituted

  8. RCE Banque

    Warnings Published: 05/04/2023 Last modified: 19/04/2023
    RCE Banque is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals.

  9. Guidance for firms

    Tasks for regulated firms Published: 13/05/2015 Last modified: 08/02/2023
    Regulated firms must follow our rules. Find out how guidance can help them do that.

  10. The number of FCA regulated firms - March 2020

    FOI Release Date of Release: 06/04/2020
    The FCA provides a yearly breakdown of the number of FCA regulated firms up until March 2020.