Search results

Showing 81 to 90 of 1328 search results for clear identification.

81. Sanctions systems and controls: firms’ response to increased sanctions due to Russia’s invasion of Ukraine

    Good and poor practice Published: 06/09/2023 Last modified: 20/03/2024
    We set out key findings from our assessments of sanctions systems and controls in financial services firms. We include examples of good practice and areas for improvement, to help firms deliver even greater compliance with sanctions.

82. How to apply for authorisation or registration

    Firms Firm authorisation Published: 24/05/2023 Last modified: 19/12/2023
    If your firm needs to be authorised by us, or registered with us, learn about the process, our expectations and how to apply.

83. Office for Professional Body Anti-Money Laundering Supervision (OPBAS)

    About us How we operate Published: 23/01/2018 Last modified: 10/05/2024
    OPBAS is the Office for Professional Body Anti-Money Laundering Supervision

84. OPBAS supervisory update: Risk identification and verification [pdf]

    Corporate documents Published: 03/08/2023
    We asked PBSs for responses to a questionnaire focused on risk identification and verification. We wrote to Professional Body Supervisors (PBSs) with our views in June 2023.

85. FCA sets clear plan for next 12 months

    Press Releases Published: 05/04/2023 Last modified: 05/04/2023
    In the second year of its 3-year strategy, the FCA plans to accelerate 4 areas of its work over the next 12 months through further investment and increased resources.

86. Notice of Decision 2023: Clear Car Credit ltd [pdf]

    Decision notices Published: 23/08/2023
    The Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation

87. FCA First Supervisory Notice 2015: Clear View Finance Limited [pdf]

    Supervisory notices Published: 21/05/2015 Last modified: 21/05/2015

88. Insurance brokers due diligence on insurers

    Tasks for regulated firms Published: 21/08/2018 Last modified: 14/02/2023
    Brokers should be able to demonstrate that they have carefully considered the insurers that they place their customers’ business with.

89. Clear Loans (clone of FCA authorised firm)

    Warnings Published: 16/05/2018 Last modified: 21/11/2020
    Fraudsters copy the details of firms we authorise to try and convince people that their firm is genuine. Find out why you shouldn’t deal with this clone firm.

90. Copy trading

    Tasks for regulated firms Published: 12/05/2015 Last modified: 09/02/2023
    Copy trading allows investors to trade by automatically copying another investor's trades, and this is often classed as portfolio or investment management.