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Showing 31 to 40 of 240 search results for referrals and identification.

31. Dual-regulated firms Remuneration Code (SYSC 19D)

    Tasks for firms Published: 21/06/2015 Last modified: 05/12/2023
    How SYSC 19D applies to dual-regulated firms, comprising banks, building societies and PRA-designated investment firms.

32. Firm handling of complaints during coronavirus

    Firms Published: 01/05/2020 Last modified: 12/05/2021
    Find out about how firms should handle complaints during coronavirus.

33. Retail banking: our review of Basic Bank Accounts

    Multi-firm reviews Published: 11/02/2020 Last modified: 12/02/2020
    We have reviewed how retail banks provide information about Basic Bank Accounts.

34. PS14/1 - Distribution of retail investments: referrals to discretionary investment managers and adviser complaints reporting [pdf]

    Policy statements Published: 31/01/2014 Last modified: 31/01/2014

35. Innovation: engagement

    Firm authorisation process Published: 29/06/2017 Last modified: 04/05/2023
    To maximise the reach of our Innovation initiatives, the FCA engages with firms across the UK and internationally.

36. AML TechSprint problem statements

    Firms Published: 02/07/2018 Last modified: 23/02/2023
    Participants at the International Anti-Money Laundering (AML) and Financial Crime TechSprint selected a problem statement to solve.

37. CP21/30: Debt packagers: proposals for new rules [pdf]

    Consultation papers Published: 17/11/2021
    Our proposals aim to reduce the risk that consumers get non-compliant debt advice that is biased towards debt solutions which may not meet the needs of consumers but that generate referral fees for the debt advice firm

38. CP13/4 - Distribution of retail investments: referrals to discretionary investment managers and adviser complaints reporting [pdf]

    Consultation papers Published: 04/07/2013 Last modified: 11/07/2013
    We are consulting on some aspects of how to apply rules from our Retail Distribution Review.

39. PS20/13: Amendments to the open banking identification requirements (eIDAS certificate) [pdf]

    Policy statements Published: 03/11/2020
    This Policy Statement (PS) summarises the responses we received to CP20/18: Quarterly Consultation Paper No. 29. File updated with accessibility tags

40. Market Watch 74

    Newsletters Published: 25/07/2023 Last modified: 25/07/2023
    n this Market Watch, we describe some of our recent supervisory observations, covering RTS 22 transaction reporting and the submission of financial instrument reference data under RTS 23.