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Showing 1931 to 1940 of 2209 search results for identification requirements.
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PS19/11: Product intervention measures for retail binary options
In this paper, the FCA sets out its final position and Handbook rules to permanently prohibit the sale, marketing and distribution of binary options to retail consumers by firms that carry out activity in, or from, the UK. -
First Supervisory Notice 2023: Campbell & Associates Independent Financial Advice Limited [pdf]
For the reasons given and pursuant to section 55L(3)(a) of the Financial Services and Markets Act 2000, the FCA has decided to impose the following requirements on Campbell & Associates Independent Financial Advice Limited. -
Retail and Wholesale Banking: review of firms’ whistleblowing arrangements
We have reviewed how firms have implemented our whistleblowing rules. We have published the findings, including the areas of good practice we observed and areas for improvement, together with our expectations on firms’ whistleblowing arrangements. -
FSA CP13/7: Consumer credit regulation - our proposed regime
On 1 April 2014, the regulation of the consumer credit market will be transferred from the Office of Fair Trading (OFT) to the Financial Conduct Authority (FCA). This move was announced by the Government, with the aim of increasing protection for -
Occasional Paper No. 33: Choices of dominated mortgage products by UK consumers
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 -
Proposed new rules to encourage companies to list in the UK and other market improvements set out by financial watchdog
Proposals aimed at making the UK’s listing regime more accessible, effective, and competitive, have today been set out in detail by the Financial Conduct Authority (FCA). -
Dear CEO letter: Due diligence requirements for Self-Invested Pension Plan (SIPP) investments [pdf]
On 30 October 2018, the FCA wrote to CEOs regarding due diligence requirements for Self-Invested Pension Plan (SIPP) investments. -
FCA outlines proposals to extend the Senior Managers and Certification Regime to all financial services firms
In October 2015, HM Treasury announced its intention to extend the Senior Managers and Certification Regime (SM&CR) to all sectors of the financial services industry. -
CP17/31: Market infrastructure providers - 2017/18 fee rates
We are consulting on the setting of our 2017/18 periodic fee rates for market infrastructure providers. -
FCA fines RBS, NatWest and Ulster Bank Ltd £42 million for IT failures
We expect all firms to focus on how they ensure that they can meet the requirements of their customers when looking at their IT strategies and policies.'.