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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.