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Showing 1 to 10 of 5630 search results for external reports.

1. External audit requirements for insurance intermediaries

   Tasks for regulated firms Published: 06/08/2015 Last modified: 06/09/2017
   Insurance intermediary audit requirements for firms.

2. External audit requirements for investment management and securities and futures firms

   Tasks for regulated firms Published: 06/08/2015 Last modified: 30/09/2016
   External audit requirements for investment management firms; securities and futures firms; or personal investment firms (not small) – which in any case is not a BIPRU investment firm, an exempt CAD firm (or an exempt BIPRU commodities firm).

3. External audit requirements for authorised professional firms

   Tasks for regulated firms Published: 06/08/2015 Last modified: 30/09/2016
   External audit requirements for authorised professional firms other than BIPRU investment firms and exempt CAD firms.

4. External audit requirements for BIPRU investment firms

   Tasks for regulated firms Published: 06/08/2015 Last modified: 30/09/2016
   External audit requirements for BIPRU investment firms (including exempt BIPRU commodities firms) or exempt CAD firms.

5. Financial Advisers

   Financial advisers Last modified: 13/01/2020
   Financial advisers must be up to speed with the latest, relevant policy to better serve consumers. Read our comprehensive resources for financial advisers here.

6. External audit requirements for small personal investment firms or service companies

   Tasks for regulated firms Published: 06/08/2015 Last modified: 30/09/2016
   Small personal investment firms or service companies requirements.

7. AIFMD

   Focus areas Published: 08/06/2016 Last modified: 30/11/2018
   The Alternative Investment Fund Managers Directive is a regulatory framework for AIFMs including private equity firms. Learn more about the aims and requirements of AIFMD.

8. Investment Managers

   Investment managers Last modified: 02/05/2019
   Investment managers need to be authorised and utilise the available support to best help consumers. Find useful links, publications and expectations for investment management firms.

9. Executive committees

   About us Our structure Published: 06/04/2016 Last modified: 04/10/2019
   Find out how our management structure operates to ensure markets work well so that customers get a fair deal.

10. Loan fee fraud

    Scams Published: 19/04/2016 Last modified: 27/04/2018
    Do you have a bad credit rating or need a loan quickly? Have you been asked to pay an upfront fee when applying for a loan or credit? Find out why this may be a scam and how to protect yourself.