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Showing 1271 to 1280 of 2209 search results for identification requirements.

  1. Insights from the 2021 Cyber Coordination Groups

    Research insights Published: 08/12/2022 Last modified: 01/02/2023
    An overview of insights arising from the discussions held at the FCA’s quarterly Cyber Coordination Group (CCG) meetings throughout 2021.

  2. FCA reviews effectiveness of UK primary capital markets

    Press Releases Published: 14/02/2017 Last modified: 11/04/2024
    The FCA is seeking feedback on how the UK primary capital markets can most effectively meet the needs of issuers and investors.

  3. Keynote address: Financial crime in the FCA world

    Speeches Published: 01/07/2013 Last modified: 18/07/2013
    Speech by Tracey McDermott, Director of Enforcement & Financial Crime, the FCA, at the FCA Financial Crime Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  4. Investment Firms Prudential Regime final rules published

    News stories Published: 22/10/2021 Last modified: 22/10/2021
    We have made final rules to streamline and simplify prudential requirements for solo-regulated UK firms authorised under MiFID.

  5. Our Rule Review Framework

    Corporate documents Published: 12/07/2023 Last modified: 10/01/2024
    The FCA have developed a draft Rule Review Framework to explain how it plans to monitor and review how its rules are working in practice.

  6. FCA sets out plan to tackle investment harm

    Press Releases Published: 15/09/2021 Last modified: 13/06/2023
    The FCA has published a new strategy aimed at giving consumers the confidence to invest, supported by a high-quality, affordable advice market, which should lead to fewer people being scammed or persuaded to invest in products too risky for their

  7. PMB 30 technical note: Exemptions from the requirement to produce a prospectus [pdf]

    Primary market Published: 19/08/2020 Last modified: 19/08/2020
    PMB 30 technical note: Exemptions from the requirement to produce a prospectus

  8. Call for Input: PRIIPs Regulation – initial experiences with the new requirements

    Feedback statements Published: 28/02/2019 Last modified: 28/02/2019
    In this Feedback Statement, we summarise responses to our Call for Input on the Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation. We also outline our next steps.

  9. Information on lead generation firm authorisations - May 2022

    FOI Release Date of Release: 06/05/2022
    The FCA provides data on lead generation firm authorisations.

  10. CP23/27: Reforming the commodity derivatives regulatory framework

    Consultation papers Published: 04/12/2023 Last modified: 30/05/2024
    This consultation sets out our proposals concerning position limits, the exemptions from those limits, position management controls, the reporting regime and the ancillary activities test.
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