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Showing 1571 to 1580 of 2209 search results for identification requirements.

  1. Occasional Paper No. 34: Effects of the advice requirement and intermediation in the UK mortgage market

    Occasional papers Published: 04/05/2018 Last modified: 29/01/2021
    As part of the mortgages market study, the FCA wanted to understand the extent to which UK consumers might save money when buying a mortgage and to understand what may be driving some to buy more expensive mortgages. This Occasional Paper

  2. Why free trade and open markets in financial services matter

    Speeches Published: 06/07/2017 Last modified: 06/07/2017
    Speech by Andrew Bailey, Chief Executive of the FCA, at Reuters Newsmaker event.

  3. The FCA’s Consumer Duty will lead to a major shift in financial services

    Press Releases Published: 27/07/2022 Last modified: 27/07/2022
    The Financial Conduct Authority (FCA) has confirmed its plans to bring in a new Consumer Duty, which will fundamentally improve how firms serve consumers.

  4. TR14/12 - Enhanced transfer value pension transfers

    Thematic reviews Published: 21/07/2014 Last modified: 21/07/2014
    the FCA Handbook requirements. the relevant guidance. findings in this paper and the examples of good and poor practice. ... and review their arrangements accordingly. We would expect firms to ensure that any pension transfer advice is sufficiently

  5. Modification by consent: SUP 16.23A.6(1) – previously ICOBS 8.4.4 R(1)

    Tasks for firms Published: 06/06/2016 Last modified: 10/06/2024
    Find out how this modification works and how to take advantage of it.

  6. Admission to trading on a regulated market – Engagement Paper 1

    Markets Calls for input Published: 18/05/2023 Last modified: 12/12/2023
    We are asking for views on how we should approach setting requirements for issuers seeking to have securities admitted to trading on regulated markets under the new public offers and admissions to trading regime.

  7. First Supervisory Notice 2022: Alexander David Securities Limited [pdf]

    Supervisory notices Published: 04/07/2022
    For the reasons given in this First Supervisory Notice, and pursuant to section 55L(2)(a) and (c) of the Financial Services and Markets Act 2000, the Financial Conduct Authority has decided to impose the following requirements.

  8. An update on our approach to authorisation and our Brexit preparations

    Speeches Published: 30/10/2018 Last modified: 30/10/2018
    Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Autumn Conference.

  9. Building a digital regulator: how the FCA is riding the innovation wave

    Speeches Published: 04/04/2022 Last modified: 19/08/2022
    Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at the Innovation Finance Global Summit 2022.

  10. Temporary restriction in short selling: Liberbank, S.A

    News stories Published: 12/06/2017 Last modified: 13/07/2017
    Temporary restriction in short selling: Liberbank, S.A. News stories First published:. 12/06/2017. Last updated: 13/07/2017. Temporary restriction in short selling: Liberbank, S.A. The Financial Conduct Authority (“FCA”) would like to draw the
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