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Showing 611 to 620 of 2209 search results for identification requirements.
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Personal data and enforcement
How and why the FCA uses personal data to carry out its enforcement functions. -
Final Notice 2024: Link Fund Solutions Limited [pdf]
This Final Notice refers to a failure by Link Fund Solutions Limited to act with due skill, care and diligence in carrying out its role as Authorised Corporate Director of the Woodford Equity Income Fund. We imposed a requirement to pay restitution -
Become an appointed representative
Read our key considerations for becoming an appointed representative (AR), and find out what you'll need to prepare for your principal firm. -
Service standards 2018/19
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 2018/19. -
Primary Market Bulletin 41
In this edition, we elaborate on our response to feedback received to the discussion chapter included in CP21/18: Enhancing climate-related disclosures by standard listed companies and seeking views on ESG topics in capital markets. In particular, -
Appointing intermediaries if you’re a funeral plan provider
Find out how to appoint intermediaries to distribute and sell your plans. -
Sustainability TechSprint
In October 2021 we held a TechSprint focused on building technological solutions to overcome challenges faced by regulators in monitoring ESG Data and Disclosures. -
Getting regulation right
Speech by Christopher Woolard, Director of Strategy and Competition at the FCA, delivered at the LendIt Conference 2016. -
Modification by consent: COBS TP 2.38BR
Find out how this modification works and how to take advantage of it. -
FSA requires action of the HSBC Group
The Financial Services Authority (FSA), as lead regulator for the HSBC Group globally, is taking action in relation to issues in respect of HSBC’s compliance with anti-money laundering rules and US sanctions requirements.