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Showing 4621 to 4630 of 5095 search results for Financial Services Register to make sure a firm.

  1. Building trust in sustainable investments

    Speeches Published: 23/11/2020 Last modified: 23/11/2020
    Speech by Richard Monks on building trust in sustainable investments.

  2. From intellectual certainty to debate

    Speeches Published: 25/02/2015 Last modified: 26/02/2015
    dotted line, to the fact they’ve taken reasonable steps to make sure their firm’s systems and controls effectively manage conduct risk. ... In particular we wanted to explore whether having a strong presence in a market could impact on the quality of

  3. Multi-factor authentication for FCA systems

    Firms Published: 15/12/2022 Last modified: 14/06/2024
    We’re strengthening how firms and others log into some FCA systems to further protect and control access to our data.

  4. FSA publishes discussion paper on transparency

    Press Releases Published: 04/03/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has published a discussion paper looking at how transparency and more effective disclosure could improve the accountability of the regulator and the financial services industry, and help consumers make more

  5. Change or cancel an approval for a controlled function

    Tasks for regulated firms Published: 12/05/2015 Last modified: 08/12/2022
    Find out how to change, withdraw or cancel approval for a controlled function, including a senior management function (SMF).

  6. Exemptions and exclusions from authorisation

    Firm authorisation Published: 08/08/2017 Last modified: 30/11/2023
    There are some circumstances where firms don’t need to be authorised by us. Find out if you qualify.

  7. Personal data used when you contact us

    Last modified: 01/07/2024
    How and why the FCA uses personal data to help us respond when you contact the organisation.

  8. Complaints handling review findings

    Multi-firm reviews Published: 15/08/2018 Last modified: 15/08/2018
    The findings of our review of how Non-deposit Taking Mortgage Lenders (NDTMLs) and Mortgage Third-Party Administrators (MTPAs) handle complaints.

  9. Shaping the future in asset management

    Speeches Published: 30/10/2013 Last modified: 30/10/2013
    Keynote speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Asset Management Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  10. Finding your registered documents

    Tasks for regulated firms Published: 12/05/2015 Last modified: 24/02/2023
    How to get information about your mutual society, including original registration documents, copies of your rules, and other registered documents.
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