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Showing 1881 to 1890 of 2209 search results for identification requirements.

  1. AI Scheme second supplemental VREQ application: Bank/ card provider [pdf]

    Requirement notices Published: 22/08/2016 Last modified: 23/08/2016

  2. Impact assessment: Chapter 6: Disapplication of CASS audit requirements to certain debt management firms consultation paper (CP16/17) [pdf]

    Impact assessments Published: 25/08/2017
    This impact assessment relates to Chapter 6: Disapplication of CASS audit requirements to certain debt management firms consultation paper (CP16/17). It has been verified by the Regulatory Policy Committee.

  3. TR16/6: Principals and their appointed representatives in the general insurance sector

    Thematic reviews Published: 22/07/2016 Last modified: 21/06/2017
    We have already taken action to intervene with five of the firms in the sample, agreeing the imposition of requirements which stop these firms from taking on new appointed representatives, asking

  4. CP22/24: Broadening access to financial advice for mainstream investments

    Consultation papers Published: 30/11/2022 Last modified: 03/08/2023
    We are aiming to allow firms to provide mass-market consumers with straightforward financial needs greater access to simplified advice on investing into mainstream products

  5. CP24/10: Joint PRA and FCA Consequential Amendments to BTS 2016/2251

    Consultation papers Published: 30/04/2024 Last modified: 24/06/2024
    We’re jointly consulting with the Prudential Regulation Authority (PRA) on proposed changes to the UK EMIR bilateral margin requirements.

  6. Firms’ preparations to comply with the cryptoasset financial promotions regime – feedback on good and poor practice

    Good and poor practice Published: 07/09/2023 Last modified: 15/11/2023
    The FCA met with various regulated cryptoasset firms to understand how prepared they were. See findings and examples of good and poor practice.

  7. CP18/11: Reviewing the funding of the Financial Services Compensation Scheme (FSCS)

    Consultation papers Published: 01/05/2018 Last modified: 15/04/2019
    We have made final rules to change how the FSCS is funded and are consulting on changes to our Professional Indemnity Insurance (PII) requirements for Personal Investment Firms (PIFs).

  8. FCA fines three broker firms £4,775,200 for failures relating to the detection of market abuse

    Press Releases Published: 08/12/2022 Last modified: 08/12/2022
    The FCA has fined BGC Brokers LP, GFI Brokers Limited and GFI Securities Limited for failing to ensure they had appropriate systems and controls in place to effectively detect market abuse.

  9. FSA issues fines totalling £4.2m for transaction reporting failures

    Press Releases Published: 08/04/2010 Last modified: 22/07/2013
    The Financial Services Authority (FSA) has fined three firms a total of £4.2m for failing to provide accurate and timely transaction reports to the FSA.

  10. HSBC voluntarily agrees to provide approximately £4m redress for historical debt collection practices

    Press Releases Published: 20/01/2017 Last modified: 26/04/2019
    HSBC has voluntarily agreed to set up a redress scheme for customers who may have suffered detriment by paying an unreasonable debt collection charge imposed by HFC Bank Ltd (HFC) and John Lewis Financial Services Limited (JLFS), the Financial
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