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Showing 21 to 30 of 240 search results for referrals and identification.

  1. PS14/1: Distribution of retail investments: referrals to discretionary investment managers and adviser complaints reporting

    Policy statements Published: 31/01/2014 Last modified: 12/01/2023
    Final rules on the first two of the proposals we consulted on in CP13/4 in July 2013.

  2. The Financial Conduct Authority publishes new referral criteria for enforcement investigations

    Press Releases Published: 10/07/2015 Last modified: 24/04/2019
    This involves assessing whether a referral for an enforcement investigation is appropriate before a final decision is made by relevant senior staff. ... On 24 April 2019, the FCA's enforcement referral criteria was replaced with theThe criteria published

  3. CP13/4: Distribution of retail investments: referrals to discretionary investment managers and adviser complaints reporting

    Consultation papers Published: 04/07/2013 Last modified: 07/02/2022
    We are consulting on some aspects of how to apply rules from our Retail Distribution Review.

  4. Financial watchdog proposes to ban debt packager referral fees to protect consumers

    Press Releases Published: 02/02/2023 Last modified: 02/02/2023
    The FCA is to push ahead with proposals to ban debt packager firms from receiving referral fees from debt solution providers, following further analysis of the market.

  5. Financial watchdog bans referral fees for debt packagers to help struggling consumers

    Press Releases Published: 02/06/2023 Last modified: 02/06/2023
    The FCA is banning certain providers of debt advice from receiving referral fees from debt solution providers.

  6. PS20/13: Amendments to the open banking identification requirements (eIDAS certificate)

    Policy statements Published: 03/11/2020 Last modified: 18/01/2021
    We outline feedback to CP20/18 and confirm near final rules to amend Article 34(1) of the UK-RTS, with minor changes to the proposal in CP20/18. 

  7. Financial promotions quarterly data 2023 Q2

    Data Published: 04/08/2023 Last modified: 03/11/2023
    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 April 2023 and 30 June 2023.

  8. Accepting pension transfer referrals from overseas advisers: UK authorised firms’ responsibilities

    Pensions Published: 27/04/2023 Last modified: 27/04/2023
    The FCA highlights the increased risks to consumers when overseas firms refer defined benefit scheme members to UK firms for pension transfer advice.

  9. Report consumer credit lending fraud (lenders)

    Consumer credit firms Published: 04/02/2019 Last modified: 21/02/2023
    Find out about our Information from Lenders (IFL) scheme and download reporting documents to tell us about suspected fraud.

  10. Non-financial counterparties subject to EMIR: 2014 review

    Markets policy Published: 26/07/2016 Last modified: 11/01/2023
    The findings from the FCA's 2014 review on how non-financial counterparties (NFCs) calculate the clearing threshold and how they are complying with European Market Infrastructure Regulation (EMIR).
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