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Showing 1601 to 1610 of 2209 search results for identification requirements.

  1. Effective compliance with the Market Abuse Regulation – a state of mind

    Speeches Published: 14/11/2017 Last modified: 15/11/2017
    One example of this is the expectation that firms fully comply with the requirement under MAR to have quote surveillance solutions in place. ... More than a year since then, we now expect firms to be compliant with all the requirements under MAR.

  2. Mortgages and coronavirus: Additional guidance for firms

    Policy and guidance Guidance consultations Published: 26/08/2020 Last modified: 04/12/2020
    This guidance applies in the exceptional circumstances arising out of the coronavirus pandemic (Covid-19) and its impact on the financial situation of mortgage customers.

  3. Inducements and conflicts of interest thematic review: key findings

    Thematic reviews Published: 18/04/2016 Last modified: 18/04/2016
    Hospitality that is not designed to enhance the quality of service to clients is offered in connection with other benefits that do meet the requirements. ... Your firm should consider these findings and expectations and ensure they meet the current

  4. FCA confirms new Listing Rules to boost growth and innovation on UK stock markets

    Press Releases Published: 02/12/2021 Last modified: 02/12/2021
    We confirm a series of rule changes to ensure that the UK's public markets remain a trusted and attractive place to list successful companies.

  5. High-cost short-term credit and coronavirus: draft temporary guidance for firms

    Guidance consultations Published: 17/04/2020 Last modified: 30/11/2020
    This guidance applies to regulated firms that enter into high-cost short-term credit (HCSTC) loans, including payday loans

  6. Quarterly Consultation Paper No. 14: CP16/21

    Consultation papers Published: 02/09/2016 Last modified: 10/11/2016
    make changes to Short Form A. make changes to IFPRU 11 to increase the clarity of requirements and ensure consistency with the Recovery and Resolution Directive.

  7. FG19/1: Primary Market Bulletin No. 20

    Finalised guidance Published: 07/02/2019 Last modified: 07/02/2019
    The FCA Knowledge Base has been updated with the guidance set out in Primary Market Bulletin No. 20.

  8. First Supervisory Notice 2023: Estate Capital Financial Management Limited [pdf]

    Supervisory notices Published: 22/02/2023
    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 Financial Conduct Authority has decided to impose the following requirements on Estate Capital Financial

  9. Green FinTech Challenge and Digital Sandbox: which service to apply for

    Tasks for regulated firms Focus areas Published: 06/09/2021 Last modified: 28/03/2022
    We outline the key differences between the Green FinTech Challenge 2021 and the Second Digital Sandbox pilot so firms can choose which service they want.

  10. Second consultation on new prudential regime for UK investment firms

    News stories Published: 19/04/2021 Last modified: 19/04/2021
    The IFPR introduces a new prudential regime for MiFID investment firms regulated by the FCA. It will create a single, proportionate regime that reflects firms’ size and business.
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