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Showing 3911 to 3920 of 4154 search results for insurance policies.

3911. FS15/3: Strengthening accountability in banking: UK branches of foreign banks – Feedback on FCA CP15/10

      Feedback statements Published: 13/08/2015 Last modified: 14/09/2015
      This paper also affects UK relevant firms, as some of the revised policy and Handbook text is also applicable to these firms. ... We will publish a policy statement later in 2015 finalising the rules, subject to finalised secondary legislation.

3912. CP16/9: FCA regulated fees and levies: rates proposals 2016/17

      Consultation papers Published: 04/04/2016 Last modified: 10/08/2021
      We are consulting on our proposed 2016/17 regulatory fees and levies

3913. PS18/9: Recovering the costs of the Office for Professional Body Anti-Money Laundering Supervision (OPBAS)

      Policy statements Published: 30/04/2018 Last modified: 04/05/2018
      In this paper we set out our final requirements and guidance on recovering the costs of OPBAS through fees.

3914. PS19/3: General standards and communication rules for the payment services and e-money sectors

      Policy statements Published: 01/08/2018 Last modified: 05/02/2019
      This Policy Statement confirms general standards and communication rules for the payment services and e-money sectors following our Consultation Paper CP18/21.

3915. Coronavirus and 10% depreciation notifications: further temporary measures for firms

      Statements Published: 30/09/2020 Last modified: 21/12/2021
      This statement is for firms providing portfolio management services or holding retail client accounts that include positions in leveraged financial instruments or contingent liability transactions.

3916. FCA publishes near final rules on MiFID II and encourages firms to submit applications for MiFID II authorisation

      Press Releases Published: 31/03/2017 Last modified: 31/03/2017
      The Financial Conduct Authority (FCA) has today published near final rules on the implementation of the Markets in Financial Instruments Directive (MiFID) II. These include changes to the trading of financial instruments including issues affecting

3917. Paying fees by instalments: we invite credit providers to express interest in offering credit to firms

      Documents Published: 15/12/2015 Last modified: 15/12/2015
      Please send expressions of interest by:. post: Finance Division – Fees Policy, Financial Conduct Authority, 25 The North Colonnade, London E14 5HS, or.

3918. Improper delegation of authorised activities - a notice for financial adviser firms and their advisers

      Multi-firm reviews Published: 30/11/2015 Last modified: 18/05/2017
      Firms that are approached to delegate their regulated activities, such as providing pension switching advice, to an unauthorised third party need to be aware of the serious implications that may arise as a result of entering into this type of

3919. Impact assessment: Open-ended investment companies and transfer restrictions (UKLA/TN/425.1) [pdf]

      Impact assessments Published: 18/08/2017
      This impact assessment relates to UKLA/TN/425.1. It has been verified by the Regulatory Policy Committee.

3920. J.P. Morgan International Bank fined for systems and controls failings in its wealth management business

      Press Releases Published: 23/05/2013 Last modified: 22/11/2021
      The Financial Conduct Authority has fined J.P. Morgan International Bank Limited (JPMIB) £3,076,200 for systems and controls failings relating to its provision of retail investment advice and portfolio investment services.