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Showing 911 to 920 of 2209 search results for identification requirements.

  1. Supervisory flexibility on transaction reporting

    Statements Published: 27/07/2023 Last modified: 27/07/2023
    We will not take action against any firms where they misreport several fields in UK MiFIR transaction reports.

  2. Voluntary Application for Imposition of Requirements: Barclays Bank UK plc [pdf]

    Requirement notices Published: 11/05/2018

  3. Annual classification and notification

    Tasks for regulated firms Published: 13/08/2015 Last modified: 10/02/2023
    All firms carrying on investment business with relevant permissions to hold client money and/or safe custody assets must notify us of their CASS firm type classification annually.

  4. Principles of good regulation

    About us How we regulate Published: 21/04/2016 Last modified: 20/07/2022
    The FCA considers the principles of good regulation when carrying out our work, and regulated firms must comply with our principles for businesses.

  5. Financial promotions quarterly data 2021 Q1

    Data Published: 05/04/2021 Last modified: 03/02/2022
    The FCA publishes data on the number of financial promotions that have been amended or withdrawn due to non-compliance with the FCA's rules, this data is for 2021 Q1.

  6. Impact assessment: Smarter Communications: Removing ineffective disclosure requirements in our Handbook [pdf]

    Impact assessments Published: 23/06/2017
    This impact assessment relates to Smarter Communications: Removing ineffective disclosure requirements in our Handbook. It has been verified by the Regulatory Policy Committee.

  7. FCA proposes stronger requirements on oversight of appointed representatives

    Press Releases Published: 03/12/2021 Last modified: 03/12/2021
    FCA launches consultation on improving the appointed representatives regime and tackling harm from this model.

  8. Methodology note on calculating capital pressures

    Statements Published: 27/03/2013 Last modified: 29/03/2013
    In November 2012 the interim Financial Policy Committee recommended that the FSA takes action to ensure that the capital of UK banks and building societies reflects a proper valuation of their assets, a realistic assessment of future conduct costs

  9. Fast-growing firms (FGFs) multi-firm review

    Multi-firm reviews Published: 10/03/2023 Last modified: 13/03/2023
    We summarise our findings and set out our expectations of FCA solo-regulated fast-growing firms to identify, assess and manage the risks arising from their activities.

  10. Appointed representatives and consumer credit firms

    New firm authorisation Tasks for regulated firms Published: 11/05/2015 Last modified: 15/12/2022
    Learn about when you can be an appointed representative (AR), or act as an agent, for a consumer credit firm.
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