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Showing 2191 to 2200 of 2209 search results for identification requirements.

  1. PS20/2: Publishing and disclosing costs and charges to workplace pension scheme members and amendments to COBS 19.8

    Policy statements Published: 28/02/2019 Last modified: 04/02/2020
    Following our consultation in CP19/10, we are publishing our final rules and guidance on requiring pension scheme governance bodies to report costs and charges information to members of workplace pension schemes and some amendments to our COBS 19.8

  2. LIBOR and the FCA's powers under the UK Benchmarks Regulation: questions and answers

    Firms Focus areas Markets Markets policy Published: 15/10/2021 Last modified: 09/01/2023
    In September 2021, we published information for firms to help manage an orderly wind-down of LIBOR. We explain this as well as information about our UK Benchmarks Regulation (BMR) powers.

  3. PS21/21: The stronger nudge to pensions guidance: feedback on CP21/11 and final rules and guidance

    Policy statements Published: 01/12/2021 Last modified: 01/12/2021
    We have published our final rules and guidance for firms on the stronger nudge to Pension Wise guidance.

  4. PS13/2 Tracing employers’ liability insurers – historical policies

    Policy statements Published: 04/06/2013 Last modified: 30/08/2015
    We are confirming new rules on employers’ liability insurance.

  5. Tribunal upholds the Financial Conduct Authority’s decision to censure Arch Financial Products and to fine and ban two of its partners

    Press Releases Published: 20/01/2015 Last modified: 24/11/2021
    The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to issue a public censure against Arch Financial Products LLP (Arch), and to prohibit Robin Farrell, its chief executive, and Robert Addison, a senior

  6. GC15/6: Proposed guidance for firms outsourcing to the ‘cloud’ and other third-party IT services

    Guidance consultations Published: 12/11/2015 Last modified: 12/11/2015
    We invite views on the proposed guidance, which intends to clarify the requirements on firms when outsourcing to the ‘cloud’ and other third-party IT services.

  7. PS20/17: Proposals to enhance climate-related disclosures by listed issuers and clarification of existing disclosure obligations

    Policy statements Published: 21/12/2020 Last modified: 21/12/2020
    We summarise the feedback to our consultation proposals in CP20/3 and confirm our final policy position.

  8. FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly

    Press Releases Published: 24/02/2015 Last modified: 24/02/2015
    It is also a fundamental regulatory requirement. This case serves as an important reminder to firms of the importance of managing conflicts of interest effectively by implementing a robust control environment

  9. Optimising the Senior Managers and Certification Regime: Policy Statement 19/20 and Feedback to CP 19/4

    News stories Published: 26/07/2019 Last modified: 26/07/2019
    Today we publish final rules on the extension of the Senior Managers and Certification Regime (SM&CR) to FCA solo-regulated firms, including claims management companies.

  10. The Financial Conduct Authority fines FXCM UK £4 million for making ‘unfair profits’ and not being open with the FCA

    Press Releases Published: 26/02/2014 Last modified: 26/02/2014
    This breached the FCA’s requirement that firms are open and cooperative with the regulator (FCA principle 11).
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