Search results
Showing 1521 to 1530 of 2209 search results for identification requirements.
-
Product sales data: general guidance and retail investments FAQs
Product sales data: general guidance and retail investments FAQs. -
The FSA and the Bank of England relax the barriers to entry for new bank entrants
The Financial Services Authority (FSA) and the Bank of England have published the results of their review (the Review) into barriers to new entrants to the banking sector. This Review sets out significant changes to regulatory requirements and -
First supervisory notice 2020: Hoch Capital Ltd [pdf]
This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing -
FCA confirms approach for financial promotions in social media
The guidance is designed to assist firms in their use of social media and ensure that they are compliant with the FCA’s financial promotion requirements. ... Financial promotions, whether on social media or traditional media, must give customers the -
FCA makes it easier for people to compare bank accounts
The Financial Conduct Authority (FCA) has today published final rules which will require providers of personal current accounts and business current accounts to publish information that will help customers to compare the service they could receive -
FCA confirms recognition of the FX Global and UK Money Markets Codes
Following consultation feedback, the Financial Conduct Authority (FCA) confirmed that it is recognising the following voluntary market codes of best practice under its codes recognition scheme: FX Global Code and UK Money Markets Code. -
Aggregate complaints data: 2016 H2
This data includes all the complaints that firms report to us. -
Automated investment services - our expectations
The FCA carried out two reviews, the first looking at firms offering automated online discretionary investment management and the second looked at firms providing retail investment advice exclusively through automated channels. The FCA reports back -
Overseas appointed representatives
Read more about the challenges and expectations for principal firms with overseas appointed representatives (OARs). -
Ensuring the UK remains open for business – requirements for foreign-owned firms
Speech by Clive Adamson, Director of Supervision, at the Association of Foreign Banks, London. This is the text of the speech as drafted, which may differ from the delivered version.