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Showing 1671 to 1680 of 2209 search results for identification requirements.

  1. FCA response to the independent panels’ annual reports

    Corporate documents Published: 01/02/2024 Last modified: 07/02/2024
    In line with its statutory requirement, the FCA responds to key representations made by the Panels in their respective Annual Reports.

  2. Information on emoney firms and cryptocurrency firms - September 2022

    FOI Release Date of Release: 15/09/2022
    The FCA provides information on emoney firms and cryptocurrency firms - September 2022.

  3. Review of principal firms in the investment management sector

    Multi-firm reviews Published: 20/05/2019 Last modified: 20/05/2019
    We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are.

  4. Improving the Appointed Representatives regime through greater use of data

    Data Published: 28/09/2023 Last modified: 03/10/2023
    This publication includes data from the FCA's 2021 and 2022 data requests sent to principal firms and authorisation information collected from firms. It also outlines how the FCA is improving the Appointed Representatives’ Regime (AR) regime and

  5. Information on enforcement on transparency of consumer facing documents - June 2022

    FOI Release Date of Release: 13/06/2022
    The FCA provides information on its enforcement of section 68 of the Consumer Rights Act 2015 in relation to the 'transparency' of consumer-facing documents.

  6. FCA reviews find mortgage firms lending responsibly but scope for improvement on competition

    Press Releases Published: 16/05/2016 Last modified: 09/11/2016
    some firms could be more proactive and consistent in making use of flexibilities and exceptions to the responsible lending requirements for existing customers. ... take forward discussions with the PRA around the issues raised in the CfI on capital

  7. RMA-D1 Regulatory capital

    Registers and systems Published: 12/05/2016 Last modified: 13/06/2022
    RMA-D1 Regulatory capital

  8. Information on fines for lack of voice recording compliance - March 2022

    FOI Release Date of Release: 14/03/2022
    The FCA provides information on fines for lack of voice recording compliance.

  9. CP17/6: Quarterly Consultation Paper No. 16

    Consultation papers Published: 03/03/2017 Last modified: 15/05/2017
    COBS and MCOB to improve firms’ communication with consumers. our regulatory reporting requirements.

  10. FCA announces asset retention rules for British Steel advice firms

    Press Releases Published: 25/04/2022 Last modified: 25/04/2022
    The Financial Conduct Authority (FCA) is using emergency powers to prevent financial advice firms, who advised members of the British Steel Pension Scheme (BSPS), from disposing of assets to avoid paying compensation.
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