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Showing 1 to 10 of 5636 search results for external reports.

  1. 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).
  2. 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.
  3. 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.
  4. 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.
  5. 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.
  6. External audit requirements for mortgage intermediaries, lenders or administrators

    Tasks for regulated firms Published: 06/08/2015 Last modified: 06/09/2017
    External audit requirements for mortgage intermediaries, lenders or administrators.
  7. Financial Advisers

    Financial advisers Last modified: 16/05/2018
    Financial advisers must be up to speed with the latest, relevant policy to better serve consumers. Read our comprehensive resources for financial advisers here.
  8. 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.
  9. IMS

    Warnings Published: 02/07/2012 Last modified: 12/12/2013
    We believe this firm has been providing financial services or products in the UK without our authorisation. Find out why to be especially wary of dealing with this unauthorised firm and how to protect yourself from scammers.
  10. AMFX

    Warnings Published: 26/11/2015 Last modified: 26/11/2015
    We believe this firm has been providing financial services or products in the UK without our authorisation. Find out why to be especially wary of dealing with this unauthorised individual and how to protect yourself from scammers.