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Showing 2141 to 2150 of 2209 search results for identification requirements.

2141. Restrictions imposed on Beaufort Securities Limited (BSL) and Beaufort Asset Clearing Services Limited (BACSL) and both Firms are placed into insolvency

      Press Releases Published: 02/03/2018 Last modified: 02/03/2018
      Following an urgent application by the Financial Conduct Authority (FCA), the High Court has appointed Messrs Russell Downs, Douglas Nigel Rackham and Dan Yoram Schwarzmann of PricewaterhouseCoopers (PwC) as joint administrators of BSL and joint

2142. TR13/5 – Supervising retail investment advice: how firms are implementing the RDR

      Thematic reviews Published: 25/07/2013 Last modified: 03/06/2014
      What did you find helpful? Share page. Assessment template. To assist firms in meeting the disclosure requirements introduced, we have published an assessment tool and supporting guidance ahead of cycle 3

2143. Statement on various MiFID obligations and benchmarks regulation if the UK leaves the EU without an implementation period

      Statements Published: 13/03/2019 Last modified: 13/03/2019
      ESMA has published a statement clarifying its approach to aspects of the MiFID position limits regime, post-trade transparency requirements, derivatives trading obligation and benchmarks regulation if the UK leaves the EU without an implementation

2144. Beesley lecture: Economics, technology and data - Redefining the future of conduct regulation

      Speeches Published: 14/11/2014 Last modified: 20/10/2015
      As part of this, we are now able to waive rules more easily, such as the specifics of disclosure requirements, to allow testing that could produce more effective regulatory solutions.

2145. PS18/1: Insurance Distribution Directive implementation - Feedback and near-final rules to CP17/33 and other IDD consultations

      Policy statements Published: 19/01/2018 Last modified: 01/06/2018
      This is our third Policy Statement setting out near-final rules for the implementation of the Insurance Distribution Directive (IDD).

2146. FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings

      Press Releases Published: 13/08/2015 Last modified: 24/03/2020
      Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA).

2147. How to report Appointed Representatives data – information for principal firms

      Firm authorisation Published: 11/07/2023 Last modified: 26/10/2023
      Read about the data principal firms must report to the FCA about their appointed representatives (ARs).

2148. FCA decides to cancel payday lender’s interim permission and ban its sole director

      Press Releases Published: 14/07/2016 Last modified: 14/07/2016
      agreements (except in the limited circumstances specified in the requirements on its interim permission). ... FCA, there was no requirement for senior managers of consumer credit firms to be approved.

2149. FG19/05: General insurance distribution chain: Finalised guidance for insurance product manufacturers and distributors

      Finalised guidance Published: 19/11/2019 Last modified: 12/10/2021
      FG19/5: This guidance gives further clarity on our expectations of firms in the GI and pure protection sector. In particular, how firms should consider the value that the product and distribution arrangements present to the customer.

2150. FCA fines Towergate and former director Timothy Philip for client and insurer money failings

      Press Releases Published: 13/07/2016 Last modified: 13/07/2016
      A fundamental requirement of the CASS Rules is that firms must keep client money separate from firm money in segregated client money bank accounts.