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Showing 1511 to 1520 of 2209 search results for identification requirements.

  1. PS16/6: Consequential Changes to the Senior Managers Regime

    Policy statements Published: 02/03/2016 Last modified: 26/05/2016
    These changes reflect HM Treasury’s removal of the requirement for firms to report known and suspected breaches of our conduct rules to the FCA, as set out under section

  2. TR15/13: Flows of confidential and inside information

    Thematic reviews Published: 10/12/2015 Last modified: 10/12/2015
    Although this review did not cover all types of financial services firms, the conclusions will nonetheless be of interest across the sector, given the requirement to protect confidential and inside information

  3. Cyber and technology resilience in UK financial services

    Speeches Published: 27/11/2018 Last modified: 14/01/2019
    Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at Bloomberg, London.

  4. FCA consults on strengthening investor protections in SPACs

    Press Releases Published: 30/04/2021 Last modified: 30/04/2021
    The FCA has launched a consultation on proposed changes to its Listing Rules for certain special purpose acquisition companies (SPACs). 

  5. Temporary prohibition in short selling: Banca Carige

    Short selling News stories Published: 14/11/2018 Last modified: 14/11/2018
    Temporary prohibition in short selling: Banca Carige. News stories First published:. 14/11/2018. Last updated: 14/11/2018. Temporary prohibition in short selling: Banca Carige. The Financial Conduct Authority (FCA) notifies that it temporarily

  6. CP18/6: Quarterly Consultation Paper No 20

    Consultation papers Published: 02/03/2018 Last modified: 30/08/2018
    Once a quarter, we consult on proposed miscellaneous amendments to our Handbook. These tend to be minor changes but we still want to get your feedback on our proposals.

  7. OPBAS publishes report on progress and themes from 2020/21

    Press Releases Published: 20/09/2021 Last modified: 20/09/2021
    The Office for Professional Body Anti-Money Laundering Supervision (OPBAS) releases its 2020/21 report on progress made in tackling money laundering by professional body supervisors.

  8. FCA confirms extension of the Temporary Permission Regime deadline

    Press Releases Published: 24/05/2019 Last modified: 24/05/2019
    The FCA has today confirmed the deadline for notifications for the temporary permissions regime (TPR) will be extended to the end of 30 October 2019. TPR would allow EEA-based firms passporting into the UK to continue new and existing regulated

  9. Further First Supervisory Notice 2022: Indigo Michael Limited [pdf]

    Supervisory notices Published: 03/02/2023
    For the reasons given and pursuant to sections 55L(2)(a), 55L(2)(c) and (3)(b) of the Financial Services and Markets Act 2000, the FCA has decided to vary the requirements imposed on Indigo Michael Limited by a First Supervisory Notice issued on 12

  10. FCA fines The Carphone Warehouse over £29m for insurance mis-selling

    Press Releases Published: 13/03/2019 Last modified: 20/12/2019
    The Financial Conduct Authority (FCA) has fined The Carphone Warehouse £29,107,600 for failings that led to the mis-selling of ’Geek Squad’, a mobile phone insurance and technical support product. This follows an FCA investigation which stemmed
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