Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 151 to 160 of 451 search results for also required to publish complaints data.

  1. Directory of certified and assessed persons

    Tasks for regulated firms Published: 04/09/2019 Last modified: 10/02/2023
    Find out how you can prepare and amend your certified and assessed person submission, and why it's important to confirm your details.

  2. UK EMIR news

    Markets policy Published: 22/05/2016 Last modified: 12/07/2024
    Read our archive of news relating to EMIR dating back to August 2013.

  3. PS16/6: Consequential Changes to the Senior Managers Regime

    Policy statements Published: 02/03/2016 Last modified: 26/05/2016
    These amendments are required to ensure that SYSC 1 Annex 1 reflects our final rules for foreign branches. ... It will also be of interest to incoming branches of overseas relevant firms.

  4. Financial promotions quarterly data 2021 Q1

    Data Published: 05/04/2021 Last modified: 03/02/2022
    The FCA publishes data on the number of financial promotions that have been amended or withdrawn due to non-compliance with the FCA's rules, this data is for 2021 Q1.

  5. PS14/4: The FCA’s regulatory approach to crowdfunding over the internet, and the promotion of non-readily realisable securities by other media

    Policy statements Published: 06/03/2014 Last modified: 07/02/2022
    This policy statement summarises and gives response feedback to CP13/13 - The FCA’s regulatory approach to crowdfunding (and similar activities). We also publish rules that came into force on 1 April 2014.

  6. Statement of Policy: Delaying annual company accounts and half yearly financial reports for listed companies during the coronavirus crisis: Q&A

    Markets Published: 26/03/2020 Last modified: 23/03/2022
    Questions and answers relating to delaying annual company accounts during the coronavirus crisis​​​.

  7. AIFMD updates

    Focus areas Published: 08/06/2016 Last modified: 05/07/2023
    There are several updates the FCA has published on Alternative Investment Fund Managers Regulations. Find out about the FCA's updated guides and forms.

  8. Consumer credit – Ongoing service and end of agreement

    Consumer credit firms Published: 26/04/2019 Last modified: 03/02/2023
    We outline why your commitment to customers does not end after they enter into an agreement with you.

  9. Financial promotions data 2023

    Data Published: 14/02/2024 Last modified: 13/03/2024
    The FCA publishes data on the number of financial promotions that it has taken action on to mitigate non-compliance with the FCA's rules. This data is for 1 January 2023 to 31 December 2023.

  10. FCA publishes the findings of its work into annuities sales practices and retirement income market

    Press Releases Published: 11/12/2014 Last modified: 11/12/2014
    FCA publishes the findings of its work into annuities sales practices and retirement income market. ... The FCA also found examples where the ABI Code is not being applied in practice.
Related topics