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Showing 311 to 320 of 2209 search results for identification requirements.

  1. Side pockets

    Consumers Your rights Published: 08/09/2022 Last modified: 20/03/2023
    Side pockets could affect anyone who invests in funds that are exposed to Russian assets. Find out more about how side pockets work and what investors can expect.

  2. GC23/1: Guidance on cryptoasset financial promotions [pdf]

    Guidance consultations Published: 08/06/2023
    This consultation seeks feedback on proposals for guidance on how we approach, and how firms comply with, our requirement that cryptoasset financial promotions must be fair, clear and not misleading.

  3. FCA Technical Note: Sponsors - Guidance on the competence requirements set out under LR 8.6.7R(2)(b) - FCA/TN/714.4 [pdf]

    Primary market Published: 26/04/2024
    FCA Technical Note: Sponsors - Guidance on the competence requirements set out under LR 8.6.7R(2)(b) - FCA/TN/714.4

  4. PS21/20: Changes to UK MIFID's conduct and organisational requirements [pdf]

    Policy statements Published: 30/11/2021
    This Policy Statement summarises the feedback received to CP21/9 and outlines our final position and Handbook rule changes to UK MIFID's conduct and organisational requirements.

  5. PS21/12: Assessing value for money in workplace pension schemes and pathway investments: requirements for IGCs and GAAs [pdf]

    Policy statements Published: 04/10/2021
    FCA PS21/12: Assessing value for money in workplace pension schemes and pathway investments: requirements for IGCs and GAAs.

  6. FSA - Handbook Notice 103 [pdf]

    Handbook Published: 24/09/2010 Last modified: 30/05/2013
    On 23 September 2010, the FSA Board made changes which make minor administrative amendments to the Handbook, none of which represents any change to Handbook policy

  7. IRHP s166 requirement notice [pdf]

    Requirement notices Published: 15/06/2015 Last modified: 03/08/2016

  8. Debt management activity and authorisation

    New firm authorisation Published: 09/08/2017 Last modified: 28/04/2020
    Here we list some typical misconceptions about the way we authorise firms engaged in debt management activity. Then we give you the facts.

  9. Regulatory Sandbox

    Firms Published: 27/03/2022 Last modified: 09/05/2024
    The Regulatory Sandbox is for firms wanting to test new products live in the market with real consumers. Find out more about it and how to apply.

  10. Notification requirements in the Money Laundering Regulations for FSMA authorised firms

    Tasks for regulated firms Published: 27/06/2017 Last modified: 21/02/2023
    Firms authorised under Financial Services and Markets Act (FSMA) who we supervise under the Money Laundering Regulations are required to tell us if they carry out certain activities. Read more on who this applies to and how to tell us.
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