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Showing 21 to 30 of 1328 search results for clear identification.

  1. Proxy advisors

    Markets Published: 18/12/2019 Last modified: 17/04/2024
    Proxy advisors offer research, advice or recommendation services. Read more about the Proxy Advisors Regulations, joining our public list and reporting breaches.

  2. Market Watch 70

    Newsletters Published: 03/10/2022 Last modified: 03/10/2022
    In this Market Watch, we outline recent observations on the transaction reporting and instrument reference data regimes. These will be of interest to investment firms, credit institutions, trading venues, systematic internalisers, and approved

  3. Money Laundering Regulations

    Firms Focus areas Published: 23/12/2019 Last modified: 21/02/2023
    Find out more about Money Laundering Regulations (MLRS) and how firms need to comply.

  4. FCA publishes thematic review into dark pools

    Press Releases Published: 21/07/2016 Last modified: 21/07/2016
    The FCA considered the promotion undertaken by dark pool operators, the quality of the identification, management and disclosure of conflicts of interest and also reviewed relevant governance, oversight and controls. ... For operators these include:.

  5. 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.

  6. Unstable coins: cryptoassets, financial regulation and preventing financial crime in the emerging market for digital assets

    Speeches Published: 06/03/2020 Last modified: 06/03/2020
    Speech delivered by Therese Chambers, Director of Retail and Regulatory Investigations at the FCA, on cryptoassets.

  7. Market abuse requires a dynamic response to a changing risk profile

    Speeches Published: 13/02/2019 Last modified: 17/05/2019
    Let’s be clear - a regulatory system that relies on controls that work by detecting when an event has happened, will never be as effective as a system that also helps ... That is why developing the effective ‘conduct risk identification muscles’,

  8. The future of LIBOR

    Speeches Published: 27/07/2017 Last modified: 27/07/2017
    Speech by Andrew Bailey, Chief Executive of the FCA, at Bloomberg London.

  9. AI: Flipping the coin in financial services

    Speeches Published: 05/10/2023 Last modified: 05/10/2023
    Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at the City and Financial Global AI Regulation Summit 2023.

  10. Business Plan 2023/24

    Corporate documents Business plans Published: 04/04/2023 Last modified: 02/07/2024
    The FCA's Business Plan details the work it will do over the next 12 months to help deliver the commitments in its Strategy.