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Showing 2071 to 2080 of 2209 search results for identification requirements.

  1. FCA publishes the interim report of its investment and corporate banking market study and a discussion paper on the IPO process

    Press Releases Published: 13/04/2016 Last modified: 13/04/2016
    The alternative IPO process models put forward for discussion in the FCA’s paper comprise different combinations of two simple ideas: a requirement to delay the release of any research by ... analysts at banks connected to the IPO until after the

  2. CP16/14: UCITS V Level 2 Regulation, SFTR and consequential changes to the Handbook

    Consultation papers Published: 19/05/2016 Last modified: 19/05/2016
    We are consulting on proposed changes to the Client Assets sourcebook (CASS) and the Collective Investment Schemes sourcebook (COLL), following the adoption of the Undertakings for Collective Investment in Transferable Securities V Level 2

  3. Voluntary Application for the Imposition of Requirements: Tokio Marine Kiln Insurance Limited and Tokio Marine Kiln Syndicates Limited [pdf]

    Requirement notices Published: 14/01/2021
    Imposition of new requirements pursuant to Section 55l(5) and Section 55m(5) of the Financial Services and Markets Act 2000

  4. PS22/6: Preventing claims management phoenixing by financial services firms

    Policy statements Published: 07/06/2022 Last modified: 08/06/2022
    New rules to prevent harm by stopping claims management phoenixing across the Financial Services market

  5. FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms

    Press Releases Published: 13/08/2015 Last modified: 19/04/2016
    and requirements in Solvency II around the governance of firms and the fitness and propriety of key function holders within them. ... make further submissions to the PRA as the lead regulator for the transposition of these requirements;.

  6. FCA fines Stonebridge International Insurance Limited £8.4m in relation to sales of insurance policies

    Press Releases Published: 07/08/2014 Last modified: 07/08/2014
    It also found that Stonebridge’s poor systems and controls, and inadequate oversight of its outsourcing companies breached the FCA’s requirements that firms treat customers fairly and have appropriate systems

  7. FCA, ICO and FSCS publish joint statement to insolvency practitioners and authorised firms

    Statements Published: 07/02/2020 Last modified: 07/02/2020
    FCA, ICO and FSCS warn insolvency practitioners and FCA-authorised firms to be responsible when dealing with personal data.

  8. FCA publishes interim feedback following a call for input to the post-implementation review of the rules for crowdfunding

    Press Releases Published: 09/12/2016 Last modified: 09/12/2016
    The Financial Conduct Authority (FCA) has given an update on the post-implementation review of the loan-based and investment-based crowdfunding market. Our earlier call for input raised a number of issues for discussion; the feedback statement

  9. FSA fines The Co-operative Bank plc for failing to handle PPI complaints fairly

    Press Releases Published: 04/01/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has fined The Co-operative Bank plc (Co-op) £113,300 for failing to handle payment protection insurance (PPI) complaints fairly.

  10. FCA opens a discussion on the impact of climate change and green finance on financial services

    Press Releases Published: 15/10/2018 Last modified: 15/10/2018
    The Financial Conduct Authority (FCA) has today published a Discussion Paper on climate change and green finance.
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