Search results

Showing 771 to 780 of 1744 search results for level complaints data.

771. Outlining the FCA’s approach to authorisation

     Speeches Published: 15/03/2018 Last modified: 15/03/2018
     Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Annual Conference.

772. Cash-based money laundering

     Tasks for firms Published: 24/04/2023 Last modified: 24/04/2023
     Find out about the FCA's work on reducing money laundering through cash deposits at the Post Office and their current expectations of firms’ controls. 

773. Client asset reports

     Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
     All regulated investment firms (with limited exceptions set out in SUP 3.1) have to send us an annual report. Learn more about what to include and how to submit it.

774. hksvf (clone) (clone of FCA authorised firm)

     Warnings Published: 20/05/2019 Last modified: 21/11/2020
     hksvf (clone) (clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm and how to

775. Stress testing for human beings

     Speeches Published: 27/09/2019 Last modified: 27/09/2019
     Speech by Charles Randell, Chair of the FCA, delivered at the Gleneagles Pensions & Savings Symposium.

776. Cryptoassets: AML / CTF regime - Registering with the FCA

     Published: 22/03/2023 Last modified: 01/07/2024
     You must register with us if you want to provide cryptoasset services that come within the scope of money laundering regulations. Find out if this applies to you and how to register.

777. Prescribed Persons Annual Report 2022/23

     Data Published: 20/07/2023 Last modified: 20/07/2023
     The FCA is reporting on the whistleblowing disclosures made to it, under the Prescribed Persons Regulations 2017 covering April 2022 to 31 March 2023.

778. MiFID II – the road ahead

     Speeches Published: 20/10/2015 Last modified: 26/10/2015
     Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at the FCA MiFID II Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

779. Preparing for the future of Consumer Investments

     Corporate documents Published: 08/12/2023 Last modified: 08/12/2023
     We want consumers of all wealth levels to be able to make good investment decisions, with confidence and understanding of the risks and the protection involved.

780. Disruptive innovation in financial markets

     Speeches Published: 26/10/2015 Last modified: 26/10/2015
     Speech by Mary Starks, Director of Competition, FCA, delivered at the OECD (Organisation for Economic Cooperation and Development), Paris. This is the text of the speech as drafted, which may differ from the delivered version.