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Showing 11 to 20 of 3687 search results for need to register.

  1. UK Securities Financing Transactions Regulation (UK SFTR)

    Markets Markets policy Published: 11/03/2020 Last modified: 04/01/2021
    The UK Securities Financing Transactions Regulation (SFTR) introduces requirements to improve transparency and monitor the risks associated with the securities financing transactions market.
  2. Credit unions

    Tasks for regulated firms Published: 12/05/2015 Last modified: 03/02/2021
    Find out about credit unions: how to register and become authorised, reporting rules, yearly fees and how to change your society’s details.
  3. UK AIFMs

    Markets Published: 08/06/2016 Last modified: 15/02/2021
    If you are an Alternative Investment Fund Manager (AIFM) you must be authorised (full-scope AIFM) or registered if you manage Alternative Investment Funds (AIFs) with assets under management below certain thresholds. Sub-threshold AIFMs may not
  4. Mini-bonds

    Consumers Know your rights Published: 17/05/2019 Last modified: 15/02/2021
    Find out about mini-bonds and why retail investors should exercise caution when buying them.
  5. RegData

    Firms Registers and systems Published: 20/06/2020 Last modified: 29/01/2021
    RegData will be our new data collection platform for gathering regulatory data from firms. It will replace our current system Gabriel and make it easier for firms to submit their data.
  6. Penny shares

    Consumers Published: 18/04/2016 Last modified: 26/08/2020
    Find out why you should be cautious about investing in penny shares or penny stocks, and how to protect yourself if you have invested.
  7. Claims management companies: our regulation

    Claims management companies Published: 17/12/2018 Last modified: 21/01/2021
    On 1 April 2019, we became the regulator of claims management companies (CMCs).
  8. Gabriel reporting

    Registers and systems Published: 04/05/2016 Last modified: 22/02/2021
    Gabriel is the FCA's online system for collecting and storing regulatory data from firms. Log in to Gabriel, submit regulatory data and access Gabriel online training.
  9. Connect questions

    Registers and systems Published: 12/05/2016 Last modified: 05/11/2020
    Information on how to use Connect.
  10. Financial Services Register

    Statements Published: 01/02/2021 Last modified: 02/02/2021
    The Register is currently unavailable due to technical issues that are being investigated. We are working to restore the Register as quickly as possible.