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Showing 701 to 710 of 2209 search results for identification requirements.

  1. UKLA Procedural Note 909.2 - Sponsor firms – ongoing requirements during re-organisations [pdf]

    UK Listing Authority Published: 06/08/2014 Last modified: 06/08/2014

  2. Data reporting services providers

    Firms Markets Markets policy Published: 13/01/2017 Last modified: 14/12/2022
    Before entities may provide a Data Reporting Service (DRS) in the UK, they must be authorised by us or verified. Find out what this means for your firm.

  3. Senior management functions

    Tasks for regulated firms Published: 12/05/2015 Last modified: 08/12/2022
    Learn about senior management functions (SMFs) and how we assess them.

  4. Derivatives (Pre-RDR) [pdf]

    Documents Published: 12/04/2007 Last modified: 03/08/2016
    Summary of Learning Outcomes

  5. Submit a prospectus or circular

    Markets Published: 02/05/2016 Last modified: 26/03/2024
    There are several investor documents that must be submitted for FCA approval before publication. Find out more about each one, how to submit and approval.

  6. Internal investigations by firms

    Speeches Published: 05/11/2015 Last modified: 05/11/2015
    Speech by Jamie Symington, Director in Enforcement (Wholesale, Unauthorised Business and Intelligence), FCA, delivered at the Pinsent Masons Regulatory Conference 2015 on 5 November 2015. This is the text of the speech as drafted, which may differ

  7. From intellectual certainty to debate

    Speeches Published: 25/02/2015 Last modified: 26/02/2015
    Prudential requirements have been profoundly reformed. Disclosure standards significantly strengthened. Global banks that were once levered 40 to 50 times, today appear far more resilient. ... guidelines. Alongside this, we have market structural changes

  8. The FCA’s view of green mortgages

    Speeches Published: 19/04/2023 Last modified: 19/04/2023
    Speech by David Geale, Director of Retail Banking, delivered at the London Institute of Banking & Finance mortgage conference.

  9. Sign up to FCA warnings list daily alerts

    Last modified: 31/05/2022
    Email. Subscribe. Subscribe. By submitting this form you consent to us sendingFCA warnings list - daily alerts emails to you.We process personal data in line with the requirements of The General

  10. RMA-G Training and competence: FAQs

    Registers and systems Published: 13/05/2016 Last modified: 13/06/2022
    RMA-G Training and competence: FAQs
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