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Firms
In this section
Tasks for regulated firms
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Approved persons
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Senior managers and certification regime
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Change in control
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Appointed representatives and principals
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Passporting
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Variation of permission
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Cancel an authorisation
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Waivers and modifications
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Capital requirements permissions
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Fees and levies
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Regulatory reporting
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Change of legal status
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Standing data
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Authorised and recognised funds
Your business
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Client money and assets
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Financial crime
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Money laundering and terrorist financing
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Whistleblowing
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Training and competence
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Recruiting, training and supervising staff
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Financial incentives
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Remuneration
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External audit requirements
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Compliance and other support
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Reviewing your resources
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Professional indemnity insurance
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Recording telephone calls
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Cyber resilience
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Culture and governance
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Outsourcing and operational resilience
Your customers
In focus
Outsourcing and operational resilience
We explain the implications for operational resilience for firms using outsourcing and other third party service providers, and what we expect from them.
MiFID II
MiFID II could affect a wide range of your firm’s functions – from client services to IT and HR systems.
Latest consultation papers
Latest policy statements
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