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Showing 131 to 140 of 240 search results for referrals and identification.
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Financial promotions quarterly data 2022 Q3
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. -
Primary Market Bulletin 40
In this edition we provide feedback on our consultation in PMB 34 and highlight changes to the Knowledge Base on the prospectus regime as a result of the consultation. -
Trust and ethics – a regulator’s perspective
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at the launch of the St Mary’s University School of Business and Society, London. -
The coronavirus (Covid-19) financial resilience survey data
The results from the FCA's financial resilience surveys that were sent to 23,000 regulated firms. Through the surveys the FCA is understanding the real-time effect the pandemic is having on the finances of the firms it prudentially regulates. -
From Innovation Hub to Innovation Culture
Speech by Nick Cook, director of innovation delivered at the 6th Central Bank Executive Summit. -
UK EMIR reporting questions and answers
Guidance for reporting under the revised UK EMIR Article 9 reporting requirements. -
CP17/39: Quarterly Consultation Paper No 19
DISP relating to access to the Financial Ombudsman Service for PEPs, and referrals to TPO. -
T Rowe Price (Clone of FCA Authorised Firm)
T Rowe Price (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 -
Financial promotions quarterly data 2022 Q4
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 October 2022 to 31 December 2022. -
Primary Market Bulletin 33
Welcome to the 33rd edition of the Primary Market Bulletin (PMB).