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Showing 61 to 70 of 324 search results for establish.

61. Senior Managers and Certification Regime

    Tasks for regulated firms Published: 06/07/2015 Last modified: 06/02/2023
    The Senior Managers and Certification Regime (SM&CR) changed how people working in financial services are regulated. See how it applies to your firm.

62. Contract for differences

    Tasks for firms Published: 09/01/2017 Last modified: 21/04/2023
    Find out about the FCA's expectations of providers and brokers offering retail consumers contract for differences (CFD) products, which include spread betting and rolling spot foreign exchange (FX).

63. Market Watch 74

    Newsletters Published: 25/07/2023 Last modified: 25/07/2023
    n this Market Watch, we describe some of our recent supervisory observations, covering RTS 22 transaction reporting and the submission of financial instrument reference data under RTS 23.

64. MoU between the FSA and Isle of Man Financial Supervision Commission, memorandum of understanding, mou [pdf]

    Memorandums of understanding Published: 24/09/2003 Last modified: 30/05/2013
    The purpose of this Memorandum of Understanding is to establish a formal basis for co-operation, including the exchange of the information and investigative assistance.

65. Market Abuse Regulation

    Markets Market abuse Published: 03/05/2016 Last modified: 22/05/2023
    The Market Abuse Regulation (MAR) aims to increase market integrity and investor protection. Find out more about the application and structure of the MAR, market abuse offences and exemptions.

66. Proxy advisors

    Markets Published: 18/12/2019 Last modified: 17/04/2024
    Proxy advisors offer research, advice or recommendation services. Read more about the Proxy Advisors Regulations, joining our public list and reporting breaches.

67. Rolling regulation forwards

    Speeches Published: 16/11/2022 Last modified: 16/11/2022
    Speech by Nikhil Rathi, FCA Chief Executive delivered at the UK Finance annual dinner.

68. 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.

69. Periodic auctions

    Research insights Published: 25/06/2018 Last modified: 28/06/2018
    With MiFID II altering the landscape of equity markets, we take a look at this emerging trading format – with the help of data. 

70. A to Z of financial terms - Establish

    Consumers Published: 20/03/2023 Last modified: 20/03/2023
    A to Z of financial services to help you understand financial and legal terms.