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Showing 51 to 60 of 240 search results for referrals and identification.

51. Our refusal process

    Firm authorisation Published: 06/09/2023 Last modified: 30/11/2023
    Understand the process if the FCA refuses your application for authorisation.

52. ICE Futures feed reliance

    Last modified: 15/03/2024
    These client-side transactions must be reported with the MIC of the regulated market (IFLL or IFLO as appropriate) in the venue of identification field.

53. Consumer Duty – information for firms

    Tasks for firms Published: 02/10/2022 Last modified: 26/06/2024
    To help firms implement the Duty, we explain more on the areas of the Duty that we have been receiving firm queries on which are relevant for the wider market.

54. 5 Conduct Questions Programme

    Tasks for regulated firms Published: 12/04/2017 Last modified: 13/02/2023
    The FCA has engaged with firms on conduct and risk and is now feeding back findings on good and bad practice. The 5 Conduct Questions Programme covers the importance of overall governance, identifying conduct risk and fostering staff engagement

55. Wholesale banks and asset management cyber multi-firm review findings

    Multi-firm reviews Published: 10/12/2018 Last modified: 10/12/2018
    In late 2017 and early 2018 we carried out a cyber multi-firm review with a sample of 20 firms in the asset management and wholesale banking sectors. The firms we selected varied in terms of their size, scale, operating models and geography. These

56. FCA statement on judicial review of debt packager measures

    Statements Published: 26/01/2024 Last modified: 26/01/2024
    The Administrative Court has refused permission for Promethean Finance Limited to bring a judicial review claim to challenge the FCA’s rules that ban referral fees.

57. Market Watch 72

    Newsletters Published: 11/01/2023 Last modified: 11/01/2023
    In this Market Watch, we outline our recent findings on the quality of service provided by Approved Publication Arrangements (APAs) and Approved Reporting Mechanisms (ARMs), collectively known as Data Reporting Services Providers (DRSPs), to clients

58. Apply to become a debt firm

    Firm authorisation Published: 27/04/2020 Last modified: 19/12/2023
    Find out how to apply to the FCA for authorisation if you’re a debt advice, debt collection or debt purchaser firm, or if you conduct debt administration.

59. CCR007 consumer credit data: how to complete the return

    Published: 12/09/2016 Last modified: 02/04/2024
    Most consumer credit firms with limited permission are required to complete the CCR007 return. We provide guidance and information for firms on each question in the form.

60. Get-rich-quick schemes

    Scams Published: 19/04/2016 Last modified: 17/08/2018
    Find out how get-rich-quick schemes like Ponzi and pyramid schemes work, and how to protect yourself from these scams.