Search results

Showing 21 to 30 of 124 search results for identification.

21. Digital regulatory reporting

    Tasks for regulated firms Focus areas Published: 01/11/2017 Last modified: 10/02/2023
    Digital Regulatory Reporting (DRR) is a joint initiative to make regulatory reporting more efficient and effective.

22. 5 Conduct Questions Programme

    Tasks for regulated firms Published: 12/04/2017 Last modified: 13/02/2023
    The FCA has engaged with firms on conduct and risk and is now feeding back findings on good and bad practice. The 5 Conduct Questions Programme covers the importance of overall governance, identifying conduct risk and fostering staff engagement

23. A test of conscience

    Speeches Published: 23/02/2015 Last modified: 26/02/2015
    Forms of identification, for example, as well as impaired or unusual credit histories, medical histories, specific age profiles and so on.

24. Market Watch 79

    Newsletters Published: 09/05/2024 Last modified: 09/05/2024
    Newsletter on market abuse surveillance and data governance, surveillance failures and the FCA's model testing peer review, May 2024.

25. FCA response to the Davis Review

    Statements Published: 10/12/2014 Last modified: 10/12/2014
    We have introduced substantial improvement in the procedures relating to the identification, control and release of price sensitive information.

26. ICE Futures feed reliance

    Last modified: 15/03/2024
    These client-side transactions must be reported with the MIC of the regulated market (IFLL or IFLO as appropriate) in the venue of identification field.

27. FCA outcomes and metrics

    Data Published: 02/04/2022 Last modified: 01/07/2024
    The FCA is committed to being clear about how it is accountable for its progress. On this page the FCA sets out its outcomes and the metrics it will use to measure them.

28. 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.

29. 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.

30. Operational resilience: insights and observations for firms

    Tasks for firms Published: 28/05/2024 Last modified: 28/05/2024
    Make sure your firm is ready to comply with the FCA's operational resilience rules by 31 March 2025. Use our observations to help review your firm’s approach.