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Showing 1241 to 1250 of 2209 search results for identification requirements.

  1. Consumer Duty implementation plans

    Focus areas Multi-firm reviews Published: 25/01/2023 Last modified: 25/01/2023
    The Consumer Duty will set higher and clearer standards of consumer protection across financial services and require firms to act to deliver good outcomes for customers. The FCA sets out here the findings from their review of firms’ plans to embed

  2. Andrew Bailey speech at Lord Mayor’s City Banquet

    Speeches Published: 24/10/2019 Last modified: 24/10/2019
    Andrew Bailey speech at the Lord Mayor's City Banquet at Mansion House.

  3. GC13/6 Primary Market Bulletin No. 7

    Newsletters Published: 08/10/2013 Last modified: 03/09/2016
    One new technical note to explain the prospectus disclosure requirements for retail investors in non-equity securities – UKLA/TN/632.1..

  4. Product sales data: process related aspects FAQs

    Registers and systems Published: 06/05/2016 Last modified: 13/06/2022
    Product sales data: process related aspects FAQs

  5. Novaloans Ltd (trading as Cash4UNow) enters administration

    Firms in administration News stories Published: 25/10/2023 Last modified: 25/10/2023
    On 23 October 2023, Novaloans Ltd (trading as Cash4UNow) went into administration.

  6. Investigation opening criteria

    About us How we regulate Published: 21/04/2016 Last modified: 27/02/2024
    Factors we consider when deciding to open an investigation, including how we assess serious misconduct.

  7. Dear CEO letter - Payment for Order Flow [pdf]

    Correspondence Published: 13/12/2017
    This letter sets out the FCA’s views on PFOF in the context of the evolving landscape under MiFID II, drawing attention to the new requirements and that the FCA will take strong action against firms that are identified breaching the new standards.

  8. First Supervisory Notice 2023: Roark Holdings Ltd [pdf]

    Supervisory notices Published: 13/03/2023
    For the reasons given in this First Supervisory Notice, and pursuant to regulation 12(1) of the Payment Services Regulations 2017, the Financial Conduct Authority has decided to vary the authorisation granted to Roark Holdings Ltd pursuant to Part 2

  9. FCA seeks views on regulatory approach for overseas funds

    News stories Published: 04/12/2023 Last modified: 04/12/2023
    In preparation for the new Overseas Funds Regime (OFR), the Financial Conduct Authority (FCA) has set out its proposals for how the regime should operate.

  10. How we process authorised fund applications

    Tasks for regulated firms Published: 11/05/2015 Last modified: 03/02/2023
    Find out how we process applications for fund authorisation, or to amend or wind up an authorised fund.
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