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Showing 2021 to 2030 of 2209 search results for identification requirements.
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CP15/4: Whistleblowing in deposit-takers, PRA-designated investment firms and insurers
We propose that the requirements are not imposed on small credit unions with £25m or less in assets. -
TR16/1: Assessing suitability: Research and due diligence of products and services
Based on ESMA’s Technical Advice to the Commission of December 2014, we anticipate that this will include requirements in relation to research on products. -
FCA review shows too many advisory firms are not yet clear enough with their customers on their charges and services
The RDR, which came into force at the beginning of 2013, introduced new disclosure requirements to improve transparency for consumers. ... However, in the latest research, despite sufficient time and the straightforward nature of the requirements, issues -
ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR
The brokers' misconduct was exacerbated by a poor compliance culture within IEL which was a result of its heavy focus on revenue at the expense of regulatory requirements. -
CP24/4: Further consultation on the regulatory framework for pensions dashboard service firms
We are consulting on new guidance for firms undertaking this new activity and 2 changes to the rules we originally proposed in CP22/5. -
FCA fines Citigroup’s international broker-dealer £12.6m for failures relating to the detection of market abuse
The FCA has fined Citigroup Global Markets Limited (Citigroup Global Markets) £12,553,800 for failing to properly implement Market Abuse Regulation (MAR) requirements, relating to the detection of market abuse. -
Impact assessment: UKLA Technical Note: UKLA/TN/308.2 Related party transactions – Modified requirements for smaller related party transactions [pdf]
This impact assessment relates to UKLA/TN/308.2. It has been verified by the Regulatory Policy Committee. -
TR15/5: Provision of premium finance to retail general insurance customers
We expect firms to consider the issues we have identified and to take action to address the shortcomings and ensure they are complying with their regulatory requirements in this area. -
Insurance brokers: serving consumers and businesses in times of uncertainty and change
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the British Insurance Brokers' Association (BIBA) Conference. -
FG16/5: Guidance for firms outsourcing to the ‘cloud’ and other third party IT services
In November 2015, the FCA consulted on guidance to clarify the requirements on firms when outsourcing to the ‘cloud’ and other third party IT services. The FCA published the final guidance (FG16/5) in July 2016.