Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 331 to 340 of 2209 search results for identification requirements.

  1. CP22/22: Proposed extended asset retention requirements for firms under the British Steel Pension Scheme consumer redress scheme [pdf]

    Consultation papers Published: 28/11/2022
    This consultation is proposing an extension to our temporary asset retention rules, following the final rules on the BSPS consumer redress scheme.

  2. Credit broking firms: key rules

    Tasks for regulated firms Published: 23/11/2015 Last modified: 16/02/2023
    Read about the key rules for credit broking firms.

  3. A Better View

    Speeches Published: 20/09/2017 Last modified: 20/09/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017

  4. OFT Requirement Notice: First Credit Ltd [pdf]

    Requirement notices Published: 19/02/2009 Last modified: 11/04/2014
    This Notice from the OFT placed a requirement on First Credit Ltd which applies to its Consumer Credit Interim Permission.

  5. Authorised and recognised funds

    Tasks for firms Published: 09/05/2015 Last modified: 29/05/2024
    Investment funds that are structured as collective investment schemes (CIS) must be authorised or recognised by us to be promoted to retail investors in the UK.

  6. Applications under the Payment Services Regulations 2017 and Electronic Money Regulations 2011

    Tasks for regulated firms Published: 02/02/2017 Last modified: 10/02/2023
    Find out what information we need from your firm if you’re seeking authorisation or registration.

  7. FSA - PS12/13 [pdf]

    Policy statements Published: 27/07/2012 Last modified: 30/05/2013
    Policy FSA - PS12/13 - We are publishing this Policy Statement to summarise the responses received and policy conclusions reached in relation to Consultation Paper CP11/19 (Financial resources requirements for recognised bodies). We also present our

  8. CP18/22: Handbook changes to reflect the application of the EU Securitisation Regulation and the amendment to the Capital Requirement Regulation [pdf]

    Consultation papers Published: 01/08/2018
    The Securitisation Regulation and related amendment to the Capital Requirements Regulation (CRR) entered into force on 18 January 2018. Most of their provisions will come into effect on 1 January 2019. We are consulting on a number of changes to

  9. External audit requirements for insurance intermediaries

    Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
    Insurance intermediary audit requirements for firms. Read more about what you need to do.

  10. Voluntary Application for Imposition of Requirement: Ariste Holding Limited [pdf]

    Requirement notices Published: 23/07/2014 Last modified: 23/07/2014
Related searches