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Showing 111 to 120 of 1328 search results for clear identification.

  1. Mini-bonds

    Consumers Know your rights Published: 17/05/2019 Last modified: 06/06/2022
    Find out about mini-bonds and why retail investors should exercise caution when buying them.

  2. 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.

  3. 2014 Disclosure Log

    Last modified: 30/01/2020
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2014. 

  4. FSA - Guidance Note No. 11 [pdf]

    Guidance consultations Published: 17/02/2011 Last modified: 02/05/2013
    As part of this work we have initiated a series of expert groups designed to bring together the FSA and operational risk practitioners at firms to share ideas on current practice, weaknesses, and possible improvements.

  5. Credit broking firms: key rules

    Tasks for regulated firms Published: 23/11/2015 Last modified: 16/02/2023
    Read about the key rules for credit broking firms.

  6. 2014 fines

    News stories Published: 02/01/2014 Last modified: 31/08/2016
    This table contains information about fines published during the calendar year ended December 2014. The total amount of fines is £1,471,431,800.

  7. Adviser charging rules

    Tasks for regulated firms Published: 21/12/2015 Last modified: 16/05/2016
    Find out about our rules on how advisers can charge clients and how they must explain these charges.

  8. Market Watch 71

    Newsletters Published: 13/12/2022 Last modified: 13/12/2022
    In this edition we share our observations about changes in advisory firms’ insider lists since the publication of Market Watch 60.

  9. 2023 fines

    News stories Published: 12/01/2023 Last modified: 04/04/2024
    Enforcement fines published in 2023.

  10. 2015 Disclosure Log

    Last modified: 30/01/2020
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2015.