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Showing 1 to 10 of 345 search results for Locums and other outside.

1. Locums and other outside support: sole advisers

   Tasks for regulated firms Published: 11/05/2015 Last modified: 31/01/2023
   As a sole adviser, find out how a locum or outside support can help your business.

2. Compliance and other support

   Tasks for regulated firms Published: 09/05/2015 Last modified: 10/02/2023
   If you decide to get compliance support, it is important to consider what service your firm needs. See what types of support maybe helpful to your firm.

3. Assessing and monitoring consultants

   Tasks for regulated firms Published: 09/05/2015 Last modified: 31/01/2023
   Make sure potential consultants can offer the service you need. We provide good and poor practice examples.

4. Personal data and enforcement

   Last modified: 22/02/2023
   How and why the FCA uses personal data to carry out its enforcement functions.

5. Personal data and market oversight

   Last modified: 22/02/2023
   How and why the FCA uses personal data to carry out its market oversight functions.

6. Consumer Duty – information for firms

   Tasks for firms Published: 03/10/2022 Last modified: 16/05/2024
   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.

7. Office for Professional Body Anti-Money Laundering Supervision (OPBAS)

   About us What we do Published: 23/01/2018 Last modified: 23/05/2022
   OPBAS is the Office for Professional Body Anti-Money Laundering Supervision

8. Guidance for firms

   Tasks for regulated firms Published: 13/05/2015 Last modified: 08/02/2023
   Regulated firms must follow our rules. Find out how guidance can help them do that.

9. Validation Orders

   Firms Consumer credit firms Published: 09/10/2019 Last modified: 13/02/2023
   The FCA explains what Validation Orders are, the difference between agreements entered into before or after 1 April 2014 and how to apply for one.

10. AIFMD updates

    Focus areas Published: 08/06/2016 Last modified: 05/07/2023
    There are several updates the FCA has published on Alternative Investment Fund Managers Regulations. Find out about the FCA's updated guides and forms.