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Showing 1 to 10 of 5625 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 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 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).
  5. 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.
  6. 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.
  7. 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.
  8. Service standards 2018/19

    Data Published: 24/06/2019 Last modified: 24/06/2019
    The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2018/19.
  9. Dealing commission

    Speeches Published: 10/07/2014 Last modified: 10/07/2014
    Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA conference on dealing commission in London. This is the text of the speech as drafted, which may differ from the delivered version.
  10. 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.