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Showing 101 to 110 of 2209 search results for identification requirements.

101. We force third firm to reverse effect of misleading British Steel Pension Scheme offers

     News stories Published: 19/05/2023 Last modified: 22/05/2023
     The FCA has acted against another firm seeking to avoid liabilities under the British Steel Pension Scheme (BSPS) redress scheme.

102. Assessing liquidity for orderly wind-down: good and poor practices from general insurance brokers

     Multi-firm reviews Published: 23/09/2022 Last modified: 23/09/2022
     We set out findings of our multi-firm review of general insurance brokers, where we have identified areas for improvement which firms can learn from.

103. 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.

104. UK EMIR

     Markets Markets policy Published: 23/05/2016 Last modified: 10/01/2023
     The UK European Market Infrastructure Regulation (UK EMIR) covers derivatives, central counterparties and trade repositories. Find out how it applies to your firm.

105. AIFMD updates

     Focus areas Published: 08/06/2016 Last modified: 05/07/2023
     There are several updates the FCA has published on Alternative Investment Fund Managers Regulations. Find out about the FCA's updated guides and forms.

106. Regulated covered bonds

     Firms Regulated markets Published: 13/05/2016 Last modified: 08/02/2023
     Covered bonds are a type of secured bond usually backed by mortgages or public sector loans. Read about the UK regulated covered bonds regime.

107. AIFMD

     Focus areas Published: 08/06/2016 Last modified: 06/02/2023
     The Alternative Investment Fund Managers Regulations (UK AIFMD) provide a regulatory framework for alternative investment fund managers (AIFMs). Find out about the requirements.

108. Market abuse

     Markets Market abuse Published: 04/05/2016 Last modified: 22/05/2023
     Behaviour such as insider dealing and market manipulation can amount to market abuse. Find out more about the safeguards firms must have in place.

109. Securitisation

     Markets Markets policy Published: 30/07/2018 Last modified: 20/11/2023
     Securitisation legislation aims to make the securitisation market work more effectively. Regulation outlines the general requirements for all securitisations, as well as the criteria and process for designating certain securitisations as simple,

110. Short selling

     Markets Short selling Published: 12/05/2016 Last modified: 28/11/2023
     We have regulated short selling and certain aspects of credit default swaps (CDS) in the UK since 1 November 2012. Learn more about short selling and our powers.