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Showing 561 to 570 of 2209 search results for identification requirements.

  1. Voluntary Application for the Imposition of Requirements: TFS Loans Ltd (in adminstration) [pdf]

    Requirement notices Published: 10/06/2022
    Voluntary Application for the Imposition of Requirements: TFS Loans Ltd (in administration)

  2. Heads of compliance and MLROs

    Firms Published: 28/01/2022 Last modified: 08/12/2022
    Make sure you understand our expectations if your firm is applying to us to approve individuals to these positions.

  3. List of industry guidance

    Tasks for regulated firms Published: 05/08/2015 Last modified: 08/02/2023
    FCA list of industry guidance

  4. FCA’s proposals for a new listing regime

    Speeches Published: 17/09/2021 Last modified: 17/09/2021
    Speech by Clare Cole, Director of Market Oversight, FCA to City & Financial's 'The Modernisation of the Listing Regime' event

  5. The sponsor regime

    Primary markets Published: 04/05/2016 Last modified: 26/03/2024
    Sponsors are firms we approve to advise premium listed companies on their obligations under the listing regime. Read more about the regime and being a sponsor.

  6. Onshoring and the Temporary Transitional Power

    Firms Published: 30/09/2020 Last modified: 27/01/2023
    Our use of the Temporary Transitional Power (TTP) has ended. We explain how we used it and where it still applies to firms.

  7. Central securities depositories

    Markets Regulated markets Published: 03/05/2016 Last modified: 30/10/2023
    We are the competent authority for issues related to trading venues and investment firms. Learn more about what your firm should do to be compliant.

  8. OFT Requirement Notice: Capital Cash Limited [pdf]

    Requirement notices Published: 26/02/2014 Last modified: 01/04/2014
    This Notice from the OFT placed a requirement on Capital Cash Limited which applies to its Consumer Credit Interim Permission.

  9. Identifying controllers

    Tasks for firms Published: 20/07/2017 Last modified: 13/12/2023
    Find out how to identify the controllers of an FCA-authorised firm that's subject to a change in control.

  10. Service standards 2020/21

    Data Published: 15/07/2021 Last modified: 15/07/2021
    The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2020/21.
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