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Showing 1071 to 1080 of 2209 search results for identification requirements.

  1. Sign up for Primary Market Bulletin

    Last modified: 10/02/2020
    requirements of The General Data Protection Regulation (EU) 2016/679 and the Data Protection Act 2018.See our privacy notice for further information about the way we use the personal data

  2. FCA publishes the number of STORs received in 2019

    News stories Published: 28/02/2020 Last modified: 11/01/2024
    The FCA has published its suspicious transaction and order reports (STORs) figures for the year ending December 2019.

  3. Asset management market study

    Market studies Published: 18/11/2015 Last modified: 24/09/2018
    We have published the final findings of our asset management market study. As part of this, we set out a package of remedies to address the concerns identified.

  4. Guidance on the duty of responsibility: PS17/9

    Policy statements Published: 28/09/2016 Last modified: 03/05/2017
    In this Policy Statement, we set out guidance in the Decision Procedure and Penalties Manual (DEPP) on how we will enforce the ‘duty of responsibility’.

  5. Approving financial promotions

    Tasks for firms Published: 26/11/2019 Last modified: 28/05/2024
    Firms which approve financial promotions must ensure those promotions follow FCA rules. Find out about approving financial promotions of unauthorised persons.

  6. Firms now need to update or confirm their Firm Details annually

    News stories Published: 23/01/2020 Last modified: 23/01/2020
    From 31 January 2020, firms that come under Sup 16.10 reporting requirements have to check, amend or confirm the accuracy of their Firm Details annually, using the FCA’s Connect portal.

  7. PS13/10: CRD IV for Investment Firms

    Policy statements Published: 13/12/2013 Last modified: 30/08/2015
    We are the competent authority under the Financial Services and Markets Act for the prudential regulation of a large number of investment firms subject to the Capital Requirements Directive (CRD). ... investment firms that are currently subject to the

  8. PS24/4: Rules relating to Securitisation

    Consultations Policy statements Published: 07/08/2023 Last modified: 30/04/2024
    The FCA sets out our final rules for the UK securitisation markets.

  9. First Supervisory Notice 2023: Monneo Ltd [pdf]

    Supervisory notices Published: 04/05/2023
    For the reasons given in this First Supervisory Notice, the FCA has decided to vary the authorisation granted to Monneo by imposing the following requirements on the firm with immediate effect.

  10. LCC Trans-Sending Limited enters special administration

    News stories Published: 20/06/2024 Last modified: 01/07/2024
    On 18 June 2024, LCC Trans-Sending Limited (LCC) entered special administration under the Payment and Electronic Money Institution Insolvency Regulations 2021.
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