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Showing 2011 to 2020 of 2209 search results for identification requirements.
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TR14/10 - Developments in the distribution of retail investments: Purchasing investments without a personal recommendation or with simplified advice
However, we found that uncertainty about the regulatory requirements for these services, or an over-cautious interpretation of how they applied, were leading some firms to leave out features that could -
FCA seeks views on extending the implementation deadlines for the Certification Regime and Conduct Rules
The FCA has published a consultation paper on making changes to its rules following the extension to the deadline by which FCA solo-regulated firms need to have implemented the Certification Regime. -
Defined contribution workplace pensions: The audit of charges and benefits in legacy schemes
The FCA is currently consulting on the rules that will establish IGCs, and the requirement for providers to establish and maintain an IGC will come into force in April 2015. -
CP20/16: Debt advice levy rates for 2020/21 – additional funding
We are consulting on the rates at which we propose to charge our levies for the additional amount of funding for debt advice notified to us by Her Majesty’s Treasury (the Treasury) and the Department for Work and Pensions (DWP) in 2020/21. -
FCA confirms accountability rules for wholesale traders and interim rules on regulatory references
Accordingly the FCA has, as an interim measure, continued the current referencing requirements under the Approved Persons Regime for pre-approved roles. -
CP16/2: Mortgage Credit Directive: Minor changes to our rules and guidance
should contact us as soon as possible to discuss your authorisation requirements. ... a buy-to-let mortgage contract entered into before 31 May 2008. The changes relating to initial disclosure requirements will particularly affect mortgage lenders and -
FG16/6: Payment Accounts Regulations 2015 - definition of a 'payment account'
In March 2016 we consulted on guidance on the definition of a 'payment account' under the Payment Accounts Regulations 2015 (PARs). We have now published the finalised guidance. -
CP15/15: Changes to the Approved Persons Regime for insurers not subject to Solvency II
We are consulting on amending our regime for regulating key individuals and governance arrangements in insurers. -
CP23/20: Diversity and inclusion in the financial sector – working together to drive change
Alongside the Prudential Regulation Authority (PRA), we are consulting on proposals to introduce a new regulatory framework on Diversity and Inclusion (D&I) in the financial sector. -
FCA warns consumers of the risks of investments advertising high returns based on cryptoassets
The FCA is aware that some firms are offering investments in cryptoassets, or lending or investments linked to cryptoassets, that promise high returns. Investing in cryptoassets, or investments and lending linked to them, generally involves taking