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Showing 1301 to 1310 of 2209 search results for identification requirements.

  1. FCA to ask firms for their views on MiFID II implementation

    Press Releases Published: 26/03/2015 Last modified: 08/11/2016
    How MiFID II’s requirements on costs and charges disclosure could be implemented practically. ... Discussion Paper: Developing our approach to implementing MiFID II conduct of business and organisational requirements.

  2. From regulator to firm to consumer: a virtuous chain of events

    Speeches Published: 18/03/2021 Last modified: 18/03/2021
    Speech by Georgina Philippou, Senior Adviser to the FCA on the Public Sector Equality Duty, delivered at the Building Ethnic Diversity and Inclusion in Investment Management - Report Launch.

  3. CP22/26: Quarterly Consultation Paper No. 38

    Consultation papers Published: 02/12/2022 Last modified: 13/01/2023
    Once a quarter, we consult on proposed miscellaneous amendments to our Handbook.

  4. IFPR reporting, applications and notifications

    Firms Focus areas Published: 06/05/2022 Last modified: 13/02/2023
    The FCA provides information on how to submit MIFIDPRU applications and notifications, and information about MIF returns.

  5. Research Note: EMIR data and derivatives market policies [pdf]

    Research notes Published: 15/08/2018
    We assess the impact of two of the requirements introduced by the European Market Infrastructure Regulation (EMIR) by making use of a sample of the data reported to Trade Repositories and made available to us under EMIR.

  6. Regulatory hosting services

    Firm authorisation Published: 11/07/2023 Last modified: 09/05/2024
    Read information for principal firms operating as regulatory hosts.

  7. FCA updates on its Sustainability Disclosure Requirements (SDR) and investment labels consultation

    News stories Published: 29/03/2023 Last modified: 29/03/2023
    The FCA sets out some of the feedback on our proposals and our next steps, including timing of the Policy Statement.

  8. First Supervisory Notice 2023: Harvest Associates Ltd [pdf]

    Supervisory notices Published: 05/06/2023
    For the reasons given in this First Supervisory Notice, and pursuant to section 55L(3)(a) of the Financial Services and Markets Act 2000, the FCA has decided to impose the following requirements on Harvest Associates Ltd with immediate effect.

  9. Consumer investments data review April - September 2021

    Data Published: 03/03/2022 Last modified: 13/06/2023
    A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2021 and 30 September 2021.

  10. CP16/17: Quarterly Consultation Paper No. 13

    Consultation papers Published: 04/07/2016 Last modified: 12/10/2016
    dis-apply the CASS audit requirements to certain debt management firms. update rules on distribution and promotion of credit union deferred shares and subordinated debt. ... make changes to the regulatory reporting requirements set out in the Supervision
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