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Showing 1281 to 1290 of 2209 search results for identification requirements.

  1. The use of the interbank rate in online currency converter tools

    Statements Published: 19/07/2017 Last modified: 19/07/2017
    The FCA has the power under the EMRs and PSRs to impose a requirement on a firm’s authorisation/registration, and may enforce the CPRs by obtaining an enforcement order under ... The FCA has a wide range of powers with which to address breaches of our

  2. RMA-D Regulatory capital and financial resources: FAQs

    Registers and systems Published: 13/05/2016 Last modified: 13/06/2022
    RMA-D Regulatory capital and financial resources: FAQs

  3. GC16/6: Primary Market Bulletin No. 16

    Newsletters Published: 30/06/2016 Last modified: 03/09/2016
    Sponsors: Guidance on the competence requirements set out under LR 8.6.7R(2)(b) (UKLA/TN/714.2).

  4. Personal loans and coronavirus: draft guidance for firms

    Guidance consultations Published: 02/04/2020 Last modified: 30/11/2020
    The FCA's guidance for firms on personal loans during the coronavirus situation

  5. Mortgage lending and administration return (MLAR)

    Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
    Find out more about the sections of a Mortgage Lending and Administration Return (MLAR) and what you need to do when submitting one.

  6. Diversity, equity and inclusion: How we work

    About us How we operate Published: 20/07/2023 Last modified: 17/11/2023
    As a public body, the FCA aims to eliminate discrimination and advance equality of opportunity. Read more about our work towards our objectives.

  7. Dear CEO letter: Second charge lenders and responsible lending [pdf]

    Correspondence Published: 01/03/2018
    As the CEO of an FCA-regulated firm, we are expecting you to conduct a review to assess whether your procedures and systems and controls are suitable to ensure that your firm is lending responsibly. Please make certain that you would be able to

  8. T Rowe Price (Clone of FCA Authorised Firm)

    Warnings Published: 10/06/2022 Last modified: 10/06/2022
    T Rowe Price (Clone of FCA Authorised Firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm and how to

  9. FCA publishes third MiFID II consultation paper

    Press Releases Published: 29/09/2016 Last modified: 29/09/2016
    The Financial Conduct Authority (FCA) has today (29 September 2016) published its third consultation paper on the implementation of the revised Markets in Financial Instruments Directive (MiFID II).

  10. RDR adviser population & Professionalism research - 2012 Survey - Technical report [pdf]

    External research Published: 15/08/2013 Last modified: 15/08/2013
    This report describes the methodology employed for the Financial Services Authority’s (FSA’s) survey research, Progress towards the Professionalism requirements of the Retail Distribution Review: 2012 Survey. The research was conducted jointly
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