Search results
Showing 61 to 70 of 181 search results for identification and verification.
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Regulatory Sandbox accepted firms
Firms that have been accepted into the Regulatory Sandbox, including previous cohorts. -
Operational resilience: insights and observations for firms
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. -
Personal data and recruitment
How and why the FCA uses applicants' personal data collected during the recruitment process. -
Market abuse requires a dynamic response to a changing risk profile
The first three of the 5 Conduct Questions focus on the identification of conduct risk; ensuring that staff within regulated firms feel and are responsible for managing the conduct of their ... That is why developing the effective ‘conduct risk -
Scheme documents
You must submit the latest versions of scheme documents to us, including when changes are made, and follow our naming conventions and scheme numbers. -
Sponsor conflicts of interest
Our rules require sponsors to identify and manage different conflicts of interest. Learn about our involvement in assessing conflicts. -
Cyber security – industry insights
We have published a document bringing together industry insights on cyber resilience. Cyber risks pose a threat to consumers and markets, and part of the FCA’s role is to help firms become more resilient to cyber-attacks, so reducing the risk and -
Market Watch 70
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 -
Sustainability TechSprint
In October 2021 we held a TechSprint focused on building technological solutions to overcome challenges faced by regulators in monitoring ESG Data and Disclosures. -
Personal data and authorisation
How and why the FCA uses personal data that is collected via forms on its online portals: Connect, RegData and Online Invoicing.