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POATR – cross-reference checklist – PRM Appendix 2 Annex 1 [docx]
POATR – cross-reference checklist – PRM Appendix 2 Annex 1 – registration document for equity securities. -
Update on the FCA’s review of treatment of Politically Exposed Persons
The findings from this review were due to be published in line with the end of June deadline. -
FCA to ask firms for their views on MiFID II implementation
The Financial Conduct Authority (FCA) is seeking early views from firms, trade bodies and consumer groups on how it might implement certain aspects of the recast Markets in Financial Instruments Directive, ... The FCA has an overarching strategic -
Restricted US share scams
Find out how restricted US shares work, how to tell if it is a scam, what you can do to protect yourself and what to do if you have been scammed. -
FCA publishes annual report and accounts 2016/17
The FCA has published its Annual Report and Accounts, which looks back on the key pieces of work undertaken by the organisation throughout 2016/17. -
FUN (UK) Ltd (Clone of FCA authorised firm)
FUN (UK) Ltd (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 -
Information on Cum-Ex trades-November 2022
FCA provides information on Ex trades. -
Individual sentenced to four years for insider dealing
In a prosecution brought by the Financial Services Authority (FSA) and heard at Southwark Crown Court Richard Joseph, age 43, has been found guilty of 6 counts of conspiracy to deal as an insider. -
How will the FCA and the Bank/PRA co-operate on data?
The FCA and the Bank are working together to ensure the regulatory reporting processes for dual-regulated firms is efficient. We want to make sure that firms are only asked to submit data sets once and, to help achieve this, we will share data where -
Consumer Duty implementation plans
The Consumer Duty will set higher and clearer standards of consumer protection across financial services and require firms to act to deliver good outcomes for customers. The FCA sets out here the findings from their review of firms’ plans to embed