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

Search results

Showing 571 to 580 of 2209 search results for identification requirements.

  1. Amend a recognised fund

    Tasks for firms Published: 10/05/2015 Last modified: 27/11/2023
    To amend a recognised fund you must send us a notification for approval of the proposed change.

  2. Speech: Beyond economics?

    Insight Published: 25/01/2017 Last modified: 28/02/2017
    In deploying innovative mathematics in Supervision, we are exploring compliance with suitability requirements in a way that builds on work by Lewis and Hoberg for the US Securities and Exchange Commission. ... Our starting point was being sceptical about

  3. Financial Penalty Scheme

    Corporate documents Published: 02/04/2024 Last modified: 03/04/2024
    Find out how the FCA's Financial Penalty Scheme works and how we use retained penalties for the benefit of firms.

  4. Request for Andrew Bailey Emails on IRHP

    FOI Release Date of Release: 21/04/2022
    The FCA provides copies of Emails sent to or received from the email account of Andrew Bailey between 1 July 2016 and 31 December 2016 in which the term 'IRHP' or 'swaps' appears.

  5. Primary Market Bulletin 46

    Newsletters Published: 19/12/2023 Last modified: 19/12/2023
    This edition covers Article 10 UK MAR and ESG stewardship  and TCFD-aligned disclosures: sponsor procedures.

  6. Information for societies on community shares

    Mutual societies Published: 10/05/2023 Last modified: 10/05/2023
    Co-operative and community benefit societies can issue shares to the public to raise money to help run the society. Find out more about these ‘community shares’.

  7. MiFID II: retail investment advice firms

    Tasks for regulated firms Published: 09/01/2018 Last modified: 21/12/2022
    A summary of some of the key changes that impact retail investment advice firms, effective from 3 January 2018.

  8. Nothing to fear from high standards

    Speeches Published: 16/03/2015 Last modified: 03/11/2016
    Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Bloomberg. This is the text of the speech as drafted, which may differ from the delivered version.

  9. Change or cancel an approval for a controlled function

    Tasks for regulated firms Published: 12/05/2015 Last modified: 08/12/2022
    Find out how to change, withdraw or cancel approval for a controlled function, including a senior management function (SMF).

  10. The risks of token regulation

    Speeches Published: 06/09/2021 Last modified: 06/09/2021
    Speech by Charles Randell, Chair of the FCA and PSR, to the Cambridge International Symposium on Economic Crime
Related searches