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Showing 1 to 11 of 20 search results for database.

  1. Our authorisation process

    New firm authorisation Published: 09/08/2017 Last modified: 06/08/2018
    What to expect after you submit to us your application for authorisation.
  2. Our work programme

    Focus areas Tasks for regulated firms Published: 11/09/2017 Last modified: 23/02/2018
    Our work approach continues to evolve as we keep pace with the industry and develop innovative practices ourselves. 
  3. Our role

    Tasks for regulated firms Published: 09/05/2016 Last modified: 16/06/2016
    We provide confidentiality to whistleblowers who contact us. When we are completing our enquiries we will not make the firm or individual aware that we have received a whistleblowing disclosure.
  4. AML and Financial Crime International TechSprint

    Events Last modified: 03/07/2018
    In May we held a three-day International Anti-Money Laundering and Financial Crime TechSprint. Our fifth and largest TechSprint, the event focused on how new technology can be used to more effectively combat money laundering and financial crime.
  5. EuSEF and EuVECA managers

    Focus areas Published: 08/06/2016 Last modified: 09/07/2018
    We have published forms for fund managers to register as European Social Entrepreneurship Fund managers (EuSEF managers), European Venture Capital fund managers (EuVECA managers) and for those managers to notify the FCA of the persons who conduct their business.
  6. Personal data and enforcement

    Last modified: 06/08/2018
    This page explains how and why we use personal data to fulfil our enforcement functions.
  7. Digital regulatory reporting

    Focus areas Tasks for regulated firms Published: 01/11/2017 Last modified: 15/08/2018
    We are exploring how technology could make it easier for firms to meet their regulatory reporting requirements and improve the quality of information they provide.
  8. Adviser reporting requirements

    Tasks for regulated firms Published: 12/05/2015 Last modified: 16/05/2016
    We need information to show that you are complying with the Retail Distribution Review (RDR) rules, so we can supervise your firm effectively.
  9. Personal data and market oversight

    Last modified: 06/08/2018
    This page explains how and why we use personal data to fulfil our market oversight functions.
  10. Tesco to pay redress for market abuse

    Press Releases Published: 28/03/2017 Last modified: 23/08/2017
    The Financial Conduct Authority (FCA) announced in March that Tesco plc and Tesco Stores Limited (Tesco) have agreed that they committed market abuse in relation to a trading update published on 29 August 2014, which gave a false or misleading impression about the value of publicly traded Tesco shares and bonds. Tesco have agreed to pay