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Showing 1 to 10 of 2224 search results for required to register.

  1. Lists and registers

    Last modified: 07/10/2019
    Information held in registers required by law and other lists and registers relating to FCA functions.
  2. Temporary permission

    Claims management companies Published: 17/12/2018 Last modified: 12/07/2019
    CMCs were required to register with us for temporary permission by 31 March 2019.
  3. New Financial Services Register

    News stories Published: 07/09/2015 Last modified: 08/11/2016
    A new Financial Services Register makes it easier to find information on firms, individuals and other bodies that are, or have been, regulated by the PRA and/or the FCA. The new Register has one search field to help you find a firm, individual or collective investment scheme by looking up its name, reference number or postcode. You can also search...
  4. UK AIFMs

    Markets Published: 08/06/2016 Last modified: 24/09/2019
    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 benefit from the AIFMD’s marketing and management passports; however, they have the right to opt-in to...
  5. RMA-J Data required for collection of fees/RMA-K Adviser charges: FAQs

    Registers and systems Published: 13/05/2016 Last modified: 13/05/2016
    Q: Why is my firm required to complete RMA-J? A: Firms are required to complete RMA-J so that we can calculate the fees payable by each firm in respect ... Q2: How often is my firm required to complete RMA-J? A: RMA-J appears on your Gabriel schedule
  6. FCA Regulated Activities

    New firm authorisation Published: 09/08/2017 Last modified: 11/02/2019
    Firms require FCA permission to carry out specified regulated activities. Browse our non-exhaustive list of consumer credit activities and other FCA regulated activities.
  7. Applications under PSD2

    Tasks for regulated firms Published: 02/02/2017 Last modified: 14/09/2018
    PSD2 makes some important changes to the scope of regulation in the UK. Read more about the new information firms will have to provide, both when we authorise or register them and if they are currently authorised or registered.
  8. Wholesale investment managers and authorisation

    New firm authorisation Published: 09/08/2017 Last modified: 15/08/2019
    Find out which permissions to apply for in order to become authorised 
  9. Securities and futures firms: authorisation

    New firm authorisation Published: 09/08/2017 Last modified: 01/08/2019
    Find out which permissions to apply for in order to become authorised
  10. Retail intermediaries and authorisation

    New firm authorisation Published: 09/08/2017 Last modified: 09/08/2017
    Whether you’re a retail investment firm, an insurance broker or a mortgage provider, you have to be authorised by us. Find out what forms you may need to complete.