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Showing 491 to 500 of 2209 search results for identification requirements.

491. Consumer credit - Sales and advice

     Consumer credit firms Published: 25/04/2019 Last modified: 16/02/2023
     Learn about the information you need to give customers when selling your products, and assessing a customer’s creditworthiness.

492. Primary Market Bulletin 36

     Newsletters Published: 15/11/2021 Last modified: 23/11/2021
     In this special edition we introduce specific Task Force on Climate-related Financial Disclosures (TCFD) aligned climate-related disclosure requirements for listed companies.

493. Eligibility for premium listing – financial information and the track record requirement [pdf]

     UK Listing Authority Published: 03/01/2018
     UKLA/TN/102.1

494. Reporting complaints

     Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
     The Dispute Resolution (DISP) rules require firms to send us reports on volumes of complaints. Find out how to submit one.

495. Market Watch 68

     Newsletters Published: 16/11/2021 Last modified: 19/11/2021
     In this Market Watch we discuss web-based trading platforms, which are widely used for Rates and Fixed Income products and share our concerns about gaps in users’ surveillance of web-based platform activity.

496. The independent business requirements for companies applying for premium listing – interpretation of LR 6.4, LR 6.5 and LR 6.6 [pdf]

     UK Listing Authority Published: 03/01/2018
     UKLA/TN/103.1

497. Apply to become a consumer investments firm

     Firm authorisation Published: 09/11/2023 Last modified: 19/12/2023
     Find out how to apply to the FCA for authorisation if you're a consumer investments firm, such as a financial adviser or investment platform.

498. FCA Technical Note: Sponsors - Practical implications of competence requirements for sponsors and applicants FCA/TN/715.3 [pdf]

     Primary market Published: 29/04/2024
     FCA Technical Note: Sponsors - Practical implications of competence requirements for sponsors and applicants FCA/TN/715.3

499. Annual notification form [docx]

     UK Listing Authority Published: 22/11/2021
     Guidance in relation to our sponsor competence requirements (LR 8.6.7R (2)), including advice on completing the relevant sections of the annual notification form, can be found in FCA Technical Note 714.2 and 715.1.

500. Policy development update

     News stories Published: 02/07/2020 Last modified: 10/09/2021
     The policy development update provides some information on our recent and upcoming publications but should not be regarded as comprehensive.