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Showing 4541 to 4550 of 5036 search results for our Financial Services Register to make sure a firm.

4541. Regulating high frequency trading

      Speeches Published: 04/06/2014 Last modified: 04/06/2014
      Speech by Martin Wheatley, CEO, the FCA, at the Global Exchange and Brokerage Conference, New York. This is the text of the speech as drafted, which may differ from the delivered version.

4542. Electronic Communications Exclusion (ECE)

      Tasks for regulated firms Published: 19/09/2017 Last modified: 10/02/2023
      Find out more about the ECE, including what the exclusion applies to, when and how to make a notification and the information we need from you.

4543. Wholesale Conduct Risk

      Speeches Published: 24/07/2015 Last modified: 24/07/2015
      We want London to remain a success. The effective functioning of our financial markets matters not just to financial services professionals or the regulator but to [the competitiveness of] our economy ... Recognising that the way we have carried out

4544. Whistleblowing quarterly data 2024 Q2

      Data Published: 23/07/2024 Last modified: 23/07/2024
      The data shows the number of new whistleblowing reports the FCA received between April and June 2024 and the allegations they featured.

4545. Robo Advice: an FCA perspective

      Speeches Published: 02/11/2017 Last modified: 02/11/2017
      Speech by Bob Ferguson, Head of Department, Strategy & Competition Division, FCA

4546. Sure Money UK (clone of FCA authorised firm)

      Warnings Published: 12/05/2016 Last modified: 12/05/2016
      Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this 'clone firm'.

4547. Whistleblowing quarterly data 2022 Q4

      Data Published: 04/05/2023 Last modified: 04/05/2023
      Our data shows the number of new whistleblowing reports the FCA received in October to December 2022 and the allegations they featured.

4548. Whistleblowing quarterly data 2022 Q2

      Data Published: 07/10/2022 Last modified: 07/10/2022
      Our data shows the number of new whistleblowing reports the FCA received in April to June 2022 and the allegations they featured.

4549. Principals and appointed representatives

      Tasks for firms Firms Published: 09/05/2015 Last modified: 24/04/2024
      If you’re a principal firm for an appointed representative (AR), find out what your responsibilities are and when to notify the FCA.

4550. Amend a recognised fund

      Tasks for firms Published: 10/05/2015 Last modified: 27/11/2023
      To amend a recognised fund you must send us a notification for approval of the proposed change.