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Showing 421 to 430 of 2209 search results for identification requirements.

421. Authorisation of credit unions: mobilisation

     Firm authorisation Published: 24/03/2016 Last modified: 04/03/2024
     Find out how the FCA have simplified the process for authorising credit unions by introducing the mobilisation option to reduce potential barriers to entry in this sector and enable increased competition.

422. PS16/5: Strengthening accountability in banking and insurance: Implementation of SM&CR and SIMR, and PRA requirements on regulatory references [pdf]

     Policy statements Published: 15/02/2016 Last modified: 15/02/2016
     This policy statement contains, among other things, the PRA and FCA final rules to implement the proposals for applying the Senior Insurance Managers Regime (SIMR) to Swiss general insurers.

423. Confirmation criteria

     Tasks for regulated firms Published: 06/08/2015 Last modified: 08/02/2023
     Find out the criteria you have to meet so that we can grant you confirmation.

424. Complaints data items: FAQs

     Registers and systems Published: 10/05/2016 Last modified: 13/06/2022
     Complaints data items: FAQs

425. FSA - CP12/37 [pdf]

     Consultation papers Published: 18/12/2012 Last modified: 30/05/2013
     Consultation FSA - CP12/37 - We are consulting on the new rulebooks and policies for the successor organisations to the FSA.

426. Market Watch 66

     Newsletters Published: 11/01/2021 Last modified: 22/01/2021
     In this Market Watch, we set out our expectations for firms on recording telephone conversations and electronic communications when alternative working arrangements are in place, including increased homeworking.

427. GC15/2 General guidance on the application of ex-post risk adjustment to variable remuneration [pdf]

     Guidance consultations Published: 26/03/2015 Last modified: 26/03/2015
     This revised guidance consultation is intended to share the latest good practice observed in the 2014 remuneration round and clarify the FCA’s expectations on how relevant firms meet the Remuneration Code requirements on ex-post risk adjustment.

428. CP13/6 - CRD IV for Investment Firms [pdf]

     Consultation papers Published: 31/07/2013 Last modified: 31/07/2013
     This Consultation Paper sets out our proposed changes to the FCA Handbook as a result of the transposition of CRD IV – a major package of reforms to the CRD, the EU’s prudential requirements regime for credit institutions and investment firms.

429. FSA - FG12/14 [pdf]

     Finalised guidance Published: 16/05/2012 Last modified: 20/10/2014
     This guidance applies to exchange traded strategy trades whereby two or more legs that are dependent on each other are executed simultaneously. This guidance applies to transaction reports submitted to the FSA. Other competent authorities may have

430. FSA - GC12/10 [pdf]

     Guidance consultations Published: 26/07/2012 Last modified: 11/07/2016
     This guidance statement represents our guidance in a field where new requirements relating to remuneration are being implemented within the EEA. We recognise this will be an evolving process, and intend to keep the guidance set out here under review.