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Showing 1 to 10 of 477 search results for firms meet Know your Customer.

  1. Insurance: business practice, suitability and eligibility

    Tasks for regulated firms Published: 09/02/2016 Last modified: 04/12/2016
    The rules in ICOBS 7 were amended so they were closer to the wording in the Distance Marketing of Consumer Financial Services Directive (DMD). The requirements applying to insurers are unchanged.
  2. A more effective approach to combatting financial crime

    Speeches Published: 21/09/2016 Last modified: 29/09/2016
    Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the BBA Financial Crime and Sanctions Conference.
  3. The FCA’s role in promoting innovation

    Speeches Published: 22/09/2016 Last modified: 22/09/2016
    Speech by Christopher Woolard, Director of Strategy and Competition at the FCA, delivered at the BBA FinTech Banking Conference.
  4. UK FinTech: Regulating for innovation

    Speeches Published: 23/02/2016 Last modified: 23/02/2016
    Speech by Christopher Woolard, FCA Director of Strategy and Competition, delivered at the FCA’s event on UK FinTech: Regulating for innovation on 22 February 2016. This is the text of the speech as drafted, which may differ from the delivered
  5. Appointed representatives and networks

    Tasks for regulated firms Published: 06/08/2015 Last modified: 15/06/2016
    We expect you to have the right procedures to effectively monitor and control your business and networks of appointed representatives.
  6. Regulating the funeral plans sector: what you need to know

    Firms Published: 05/02/2021 Last modified: 05/05/2021
    The FCA are taking responsibility for regulating the pre-paid funeral plans sector. Find out what this means for funeral plan providers and intermediaries. 
  7. Changes in mortgage regulation

    Speeches Published: 11/11/2015 Last modified: 11/11/2015
    Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations, delivered at the Council of Mortgage Lenders conference, London. This is the text of the speech as drafted, which may differ from the delivered version.
  8. Structured products

    Consumers Published: 18/04/2016 Last modified: 20/05/2020
    Find out more about structured products, what we expect from product providers, and what this means for you.
  9. Regulatory Sandbox – application form

    Last modified: 16/06/2017
    Yes. No. If yes, what is your Firm Reference Number (FRN) or Individual Reference Number? ... We will need to know what presence you have in the UK when we assess your firm against these conditions.
  10. 100 days of the FCA

    Speeches Published: 09/07/2013 Last modified: 16/08/2013
    Speech by Martin Wheatley, Chief Executive, the FCA, at the ABI Biennial Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.