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Showing 71 to 80 of 757 search results for need to register staff.

71. Cryptoassets: AML / CTF regime - Registering with the FCA

    Published: 22/03/2023 Last modified: 31/01/2024
    You must register with us if you want to provide cryptoasset services that come within the scope of money laundering regulations. Find out if this applies to you and how to register.

72. Firms need to register for Connect to update their firm details

    News stories Published: 13/09/2019 Last modified: 13/09/2019
    Firms need to register for our online Connect platform. You will need it to send us your firm details - also known as a mandatory annual update. This will be a requirement from January 2020, so we suggest you register now in preparation.

73. Continuing Professional Development (CPD) and professional qualification exams during coronavirus

    Tasks for regulated firms Published: 27/05/2020 Last modified: 10/02/2023
    During the current pandemic, we expect firms to continue to demonstrate that relevant individuals remain competent to carry out their work.

74. Reviewing your resources

    Tasks for regulated firms Published: 03/08/2015 Last modified: 15/02/2023
    If you are a regulated firm, or wish to become regulated, you should review the level of resources required to operate your business effectively.

75. Advised and non-advised sales

    Financial advisers Tasks for regulated firms Published: 21/12/2015 Last modified: 21/09/2022
    Firms can offer either advised or non-advised sales. Find out about the difference here.

76. FSA - FG11/11: The Remuneration Code - Code staff list for Tier 3 and 4 firms [xls]

    Finalised guidance Published: 18/07/2011 Last modified: 20/10/2014
    This table is intended as a tool for you to keep a record of all Remuneration Code Staff identified for the current performance year, as required by SYSC 19A.3.5.R (1). It is not compulsory and you may choose to record your Remuneration Code Staff

77. Risks to customers from financial incentives

    Tasks for regulated firms Published: 30/11/2015 Last modified: 10/02/2023
    The FCA out how financial incentives for staff could potentially have a negative effect on customers.

78. Recruiting key staff and managing the risk of leaving: credit unions

    Tasks for regulated firms Published: 12/05/2015 Last modified: 10/02/2023
    Find out how to manage the risk caused by losing an important member of staff who holds vital information about your credit union.

79. Financial crime

    Tasks for firms Published: 30/07/2015 Last modified: 11/03/2024
    Integrity of the UK's financial markets requires the FCA to ensure firms have effective systems and controls to detect, prevent and deter financial crime. Learn from good and poor examples and browse our guide to financial crime.

80. Working here

    Published: 28/09/2016 Last modified: 11/01/2024
    Find out what it's like to work here, and how we help our people achieve a healthy work-life balance.