Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 1 to 11 of 22 search results for database.

  1. FCA approach to MiFID transparency calculations

    Statements Published: 05/02/2019 Last modified: 05/02/2019
    We welcome the statement published by ESMA today on the use of UK data in ESMA databases and the performance of MiFID II calculations in the EU27 if the UK leaves the EU without a withdrawal agreement (a no-deal scenario). In this scenario, we will no longer send UK trading data to ESMA.
  2. 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.
  3. Our work programme

    Focus areas Tasks for regulated firms Published: 11/09/2017 Last modified: 26/09/2018
    Our work approach continues to evolve as we keep pace with the industry and develop innovative practices ourselves. 
  4. 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.
  5. EuSEF and EuVECA managers

    Focus areas Published: 08/06/2016 Last modified: 28/01/2019
    Here we explain how you can register as a European Social Entrepreneurship Fund (EuSEF) manager or European Venture Capital fund (EuVECA) manager, or notify us about the persons who conduct your 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: 30/01/2019
    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. AML and Financial Crime International TechSprint

    Events Last modified: 18/02/2019
    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.
  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. 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.