Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 81 to 90 of 2239 search results for required to register.

  1. Opening a bank account

    Consumers Published: 18/04/2016 Last modified: 08/12/2017
    Find out what you have to do and what your rights are when opening a bank account.
  2. MLA C: capital adequacy FAQs

    Registers and systems Published: 13/05/2016 Last modified: 13/05/2016
    b) Examples of 'Other' for 'audited (or other) financial statement'. one example is where a firm is not necessarily required to have its accounts audited. ... However, since it is described as 'other reserves' above, and not as 'other audited reserves',
  3. Pointfinance Limited (clone)

    Warnings Published: 14/06/2017 Last modified: 14/06/2017
    We have published this statement in order to warn consumers against dealing with unauthorised firms.
  4. Cryptoassets: AML / CTF regime

    Tasks for regulated firms Published: 25/10/2019 Last modified: 11/02/2020
    From 10 January 2020, the FCA will be the anti-money laundering and counter terrorist financing (AML/CTF) supervisor of UK cryptoassets businesses under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017, as amended (MLRs).
  5. Controller forms needed for authorisation

    New firm authorisation Published: 09/08/2017 Last modified: 09/08/2017
    A ‘controller’ includes any person who holds a certain level of influence over a UK authorised firm, whether directly or indirectly, through ownership rights, such as shareholdings, voting rights or partnership interests. Find the right controller forms to be submitted along with your authorisation application.
  6. 2019 Disclosure Log

    Last modified: 12/02/2020
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2019. 
  7. Common misreporting errors: RMAR

    Tasks for regulated firms Registers and systems Published: 12/05/2016 Last modified: 17/05/2016
    Find out more about common errors that firms make when submitting their returns. 
  8. RMA-F Threshold conditions: FAQs

    Registers and systems Published: 13/05/2016 Last modified: 08/06/2016
    Q: Has there been a notifiable change to the firm's close links? A: You should answer this question as appropriate for your firm. There is a close link between the firm and another person or entity (CL) if the relationship between the two falls into
  9. Regulation round-up August 2017

    Newsletters Published: 17/08/2017 Last modified: 17/08/2017
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.
  10. Asset Land - Information for investors

    News stories Published: 26/04/2016 Last modified: 15/10/2019
    The Asset Land companies and their directors promoted and operated collective investment schemes (CIS) without FCA authorisation