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Showing 1081 to 1090 of 2209 search results for identification requirements.

  1. Indicative list of financial instruments [pdf]

    Documents Published: 29/12/2020
    Indicative list of financial instruments that are subject to notification requirements. This PDF has been amended to improve accessibility. This PDF has been amended to improve accessibility.

  2. Six guilty in relation to £2.7m boiler room scam

    Press Releases Published: 11/12/2017 Last modified: 11/12/2017
    In a criminal prosecution brought by the Financial Conduct Authority (FCA), three defendants have today been found guilty for their roles in a series of boiler rooms which led to the loss of more than £2.7m of investors’ funds. 

  3. FG17/3: Primary Market Bulletin No. 17

    Newsletters Published: 30/03/2017 Last modified: 27/04/2017
    The UKLA Knowledge Base has been updated with the guidance set out in Primary Market Bulletin No. 17.

  4. National Storage Mechanism

    Markets Published: 03/05/2016 Last modified: 30/05/2024
    The National Storage Mechanism (NSM) allows you to access regulated announcements and disclosed documents. Find out what is stored and how to use it.

  5. AIS and/or PIS combined with other payment or e-money services

    Firms Published: 22/09/2017 Last modified: 23/02/2023
    Find out more about account information services (AIS) and payment initiation services (PIS) combined with other payment or e-money services.

  6. Financial counterparties: EMIR timely confirmation and bilateral risk mitigation

    Markets policy Published: 27/07/2016 Last modified: 11/01/2023
    See common challenges and successes for financial counterparties in complying with the timely confirmation and bilateral risk mitigation requirements.

  7. First Supervisory Notice 2022: Micro-E C.I.C [pdf]

    Supervisory notices Published: 16/01/2023
    For the reasons given in this First Supervisory Notice, and pursuant to section 55L(2)(a) and (3)(a) of the Financial Services and Markets Act 2000, the Financial Conduct Authority has decided to impose the following requirements on Micro-E C.I.C

  8. Financial conduct regulation in a restless world

    Speeches Published: 08/05/2019 Last modified: 08/05/2019
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Deloitte conduct risk roadshow.

  9. Viola Money (Europe) Limited enters administration

    News stories Published: 21/12/2021 Last modified: 21/08/2023
    A special administration order was made by the Court regarding Viola under the Payment and Electronic Money Institution Insolvency Regulations 2021

  10. Raising standards in new firms and financial promotions

    About us What we do Published: 22/11/2022 Last modified: 30/11/2022
    The FCA has created a new function to help new firms improve their standards and protect consumers from bad practice.
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