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Showing 931 to 940 of 2209 search results for identification requirements.

931. FCA consults on 2015/16 fees for regulated firms

     Press Releases Published: 26/03/2015 Last modified: 26/03/2015
     The FCA’s 2015/16 annual funding requirement is £481.6m, up from £446.4m in 2014/15, and it has proposed an 8.4% rise in fees to meet this ... Regulator, which fall, outside the FCA’s annual funding requirement.

932. Improving the suitability of financial advice

     Speeches Published: 19/09/2019 Last modified: 03/10/2019
     Speech by Debbie Gupta, Director of Life Insurance and Financial Advice Supervision at the FCA, delivered at Money Marketing Interactive Conference 2019, Harrogate.

933. Prudential valuation reporting

     Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
     UK banks, designated investment firms or full-scope IFPRU investment firms must send us or the PRA a Prudent Valuation Return every three months.

934. Financial promotions quarterly data 2022 Q3

     Data Published: 04/11/2022 Last modified: 03/02/2023
     We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 July 2022 to 30 September 2022.

935. Assessing and monitoring consultants

     Tasks for regulated firms Published: 09/05/2015 Last modified: 31/01/2023
     Make sure potential consultants can offer the service you need. We provide good and poor practice examples.

936. CPP supplemental VREQ template [pdf]

     Requirement notices Published: 22/02/2017

937. MiFID II: The future of European trading in the balance

     Speeches Published: 19/09/2014 Last modified: 01/11/2016
     Speech by David Lawton, Director of Markets, at the FCA MiFID II Conference 2014. This is the text of the speech as drafted, which may differ from the delivered version.

938. EBA Guidelines on ICT and Security Risk Management

     Statements Published: 25/06/2020 Last modified: 06/07/2020
     The FCA has notified the EBA that it intends to comply with the European Banking Authority (EBA) final Guidelines on ICT and security risk management for credit institutions, investment firms and payment service providers.

939. Detailed IT Controls Form [xlsm]

     Forms Published: 01/04/2013 Last modified: 03/08/2020
     The aim of this form is to enable applicants to demonstrate their IT systems and controls SYSC requirements, paricularly SYSC 1.

940. Becoming an appointed representative if you’re a funeral plan intermediary

     Firms Tasks for firms Published: 03/05/2021 Last modified: 01/11/2023
     Find out how to become an appointed representative (AR) that sells and distributes funeral plans on behalf of a principal firm.