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Showing 811 to 820 of 2209 search results for identification requirements.

811. Notification of major holdings and control of EEA non-listed companies and issuers [doc]

     Forms Published: 12/07/2013 Last modified: 30/01/2019
     This form should only be used by full scope UK AIFMs (Alternative Investment Fund Managers) or third country AIFMs to which the requirement at regulation 59(3) applies, with respect to the AIFs by virtue of which that requirement applies.

812. Consultation UKLA Technical Note 717.1 - Sponsors: Record Keeping Requirements [pdf]

     UK Listing Authority Published: 29/03/2016 Last modified: 29/03/2016

813. Consultation UKLA Technical Note 308.3 - Related party transactions – Modified requirements for smaller related party transactions [pdf]

     UK Listing Authority Published: 27/04/2016 Last modified: 27/04/2016

814. Consultation UKLA Technical Note 504.2 - Exemptions from the periodic reporting requirements [pdf]

     UK Listing Authority Published: 23/11/2015 Last modified: 23/11/2015

815. Reporting sanctions evasions

     Firms Markets Last modified: 20/05/2022
     If you have information about sanctions evasion or weaknesses in sanction controls we want you to report it to us.

816. OFT Requirement Notice: Manor Financial Advice Ltd [pdf]

     Requirement notices Published: 17/09/2012 Last modified: 01/04/2014
     This Notice from the OFT placed a requirement on Manor Financial Advice Ltd which applies to its Consumer Credit Interim Permission.

817. Consultation UKLA Technical Note 308.2 - Related party transactions – Modified requirements for smaller related party transactions [pdf]

     UK Listing Authority Published: 30/03/2015 Last modified: 30/03/2015

818. Requirements for UK trade repositories and reporting counterparties

     Statements Published: 01/02/2019 Last modified: 01/02/2019
     In January 2019, we confirmed that we will become the UK regulator of Trade Repositories (TRs) after Brexit. This information is only applicable if the UK leaves the EU without a withdrawal agreement (a no-deal scenario).

819. Open markets and common causes: International collaboration and the modernisation of financial services regulation in the UK

     Speeches Published: 14/09/2023 Last modified: 14/09/2023
     Speech by Ashley Alder, Chair, delivered at the Eurofi Conference.

820. RCB key documents

     Published: 13/05/2016 Last modified: 27/03/2024
     Find our key documents and useful information if the regulated covered bonds regime applies to your firm.