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Showing 1781 to 1790 of 2209 search results for identification requirements.

  1. FCA fines HSBC Bank plc £63.9 million for deficient transaction monitoring controls

    Press Releases Published: 17/12/2021 Last modified: 06/05/2022
    We have fined HSBC Bank plc (HSBC) £63,946,800 for failings in its anti-money laundering processes.

  2. 10% depreciation notifications: further extension of temporary measures for firms

    Statements Published: 21/12/2021 Last modified: 21/01/2022
    Since March 2020 we have adopted temporary measures on the requirement for firms to issue 10% depreciation notifications to investors (COBS 16A.4.3 UK).

  3. Keeping pace with rising costs – improving financial inclusion for consumers

    Speeches Published: 01/06/2022 Last modified: 01/05/2024
    Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at Financial Inclusion Virtual Summit 2022

  4. GC15/2 General guidance on the application of ex-post risk adjustment to variable remuneration

    Guidance consultations Published: 26/03/2015 Last modified: 26/03/2015
    Code requirements on ex-post risk adjustment. ... This revised guidance consultation proposes to set out more clearly our expectations on how firms should implement the requirements of the Dual-regulated firms Remuneration Code on ex-post risk adjustment

  5. The new simplified advice regime and the advice / guidance boundary review

    Speeches Published: 21/03/2023 Last modified: 21/03/2023
    Speech by Therese Chambers, our Director of Consumer Investments, delivered at the TISA Financial Advice and Guidance Conference.

  6. Interest rate benchmark reform: transition to a world without LIBOR

    Speeches Published: 12/07/2018 Last modified: 12/07/2018
    Andrew Bailey, chief executive of the FCA, on transitioning from LIBOR to alternative interest rate benchmarks.

  7. FCA fines Goldman Sachs International £34.3 million for transaction reporting failures

    Press Releases Published: 28/03/2019 Last modified: 28/03/2019
    Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and timely reporting relating to 220.2 million transaction reports between November 2007 and March 2017.

  8. Hamsard 3225 Limited (trading as CLC Finance) enters administration

    News stories Published: 08/08/2023 Last modified: 08/08/2023
    On 8 August 2023 Hamsard 3225 Limited entered into administration. Robert Maxwell and Julian Pitts of Begbies Traynor (Central) LLP were appointed joint administrators.

  9. Levelling the playing field – innovation in the service of consumers and the market

    Speeches Published: 20/04/2021 Last modified: 20/04/2021
    Speech by our CEO, Nikhil Rathi, to FinTech Week.

  10. FCA sets out its approach to financial promotions in social media

    Press Releases Published: 06/08/2014 Last modified: 06/08/2014
    Therefore it remains a fundamental requirement that all communications (including financial promotions) are compliant. ... examples. These include:. Promotions for investment products - There is a specific requirement that financial promotions for
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