Search results

Showing 111 to 120 of 2209 search results for identification requirements.

111. Operational Resilience

     Tasks for firms Published: 17/05/2017 Last modified: 04/03/2024
     We set out the requirements of our policy and how to report an operational disruption.

112. Status disclosure: consumer credit

     Tasks for regulated firms Published: 11/05/2015 Last modified: 07/02/2022
     Find out what information consumer credit firms need to tell customers about their regulatory status.

113. Approved Persons Regime

     Tasks for firms Published: 12/05/2015 Last modified: 27/04/2023
     Approved persons carry out certain activities on a firm's behalf and must be regulated by us. Learn about our requirements, conduct rules and 'fit and proper' test.

114. The role and responsibilities of a Sponsor

     Primary markets Published: 20/09/2018 Last modified: 03/07/2024
     A Sponsor must be appointed and their role clear. Learn about the different principles for sponsors, their role, what they need to provide to us and protection.

115. Managing your society

     Mutual societies Published: 24/02/2023 Last modified: 24/02/2023
     Update and amend your society's details, submit annual returns, or register other changes with us.

116. External audit requirements

     Tasks for regulated firms Published: 11/05/2015 Last modified: 09/02/2023
     Some firms need to appoint an auditor to do an external audit. Read more about the external audit requirements for firms that are not PRA-regulated.

117. UK Securities Financing Transactions Regulation (UK SFTR)

     Markets Markets policy Published: 11/03/2020 Last modified: 31/03/2022
     The UK Securities Financing Transactions Regulation (SFTR) introduces requirements to improve transparency and monitor the risks associated with the securities financing transactions market.

118. Reporting obligation

     Markets policy Published: 22/05/2016 Last modified: 24/06/2024
     Under UK European Markets Infrastructure Regulation (UK EMIR) requirements, all counterparties must report any derivative contract concluded, modified or terminated. Find out more about submitting your firm's obligations.

119. LTAF valuation and pricing requirements

     Firms Published: 24/11/2022 Last modified: 24/11/2022
     This page is intended to help investors and potential investors understand how their units in a Long-Term Asset Fund are priced.

120. UK SFTR reporting obligation

     Markets Published: 11/03/2020 Last modified: 23/10/2023
     We explain the UK Securities Financing Transactions Regulation (SFTR) reporting requirements and what they mean for your firm.