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Showing 1 to 10 of 2231 search results for required to register.

  1. 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.
  2. 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...
  3. Lists and registers

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

    Tasks for regulated firms Published: 06/09/2019 Last modified: 13/11/2019
    The directory is the new public register for checking the details of key people working in financial services. From 9 September 2019 firms are required to submit their data.
  6. 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
  7. PS19/7: Finalising the Directory

    Policy statements Published: 08/03/2019 Last modified: 08/03/2019
    This Policy Statement sets out the final rules on the Directory, a new public register for checking the details of key individuals working in the financial services. It also summarises the feedback we received to Consultation Paper CP18/19 and our response.
  8. 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.
  9. 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 
  10. 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