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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.