Ads
related to: fca regulated firms search- Our Pricing
Check the Details Of the Available
Plans And View Pricing.
- Get Pricing
Get a Demo of Our Service.
See What Pricing Works For You.
- Marketing Solutions
Identify & Engage With Prospects.
Tools & Technology For Marketers.
- Start Your Trial Today
Easy To Start.
Find Better Leads.
- Our Pricing
Search results
Results From The WOW.Com Content Network
The FCA regulates financial firms providing services to consumers and maintains the integrity of the financial markets in the United Kingdom. [3] It focuses on the regulation of conduct by both retail and wholesale financial services firms. [4] Like its predecessor the FSA, the FCA is structured as a company limited by guarantee. [5]: 140
Banking Regulation and Supervision Agency of Turkey (BRSA) ; Capital Markets Board (SPK) ; Insurance and Private Pension Regulation and Supervision Agency (IPRSA) Turks and Caicos: Turks and Caicos Islands Financial Services Commission (TCIFSC) Uganda: Bank of Uganda ; Capital Markets Authority (CMA) ; Insurance Regulatory Authority of Uganda ...
If the principal purpose of the firm is to carry on regulated activities, each person with responsibility for directing its affairs performs the FCA controlled function. If the principal purpose of the firm is other than to carry on regulated activities, a person performs the small friendly society function only to the extent that he has ...
The company’s software and solutions, backed by deep industry expertise – which includes expansive knowledge in technology enablement and regulatory compliance protocols and processes – support more than 7,000 clients, including investment management firms, private equity firms, hedge funds, broker-dealers, registered investment advisers ...
It is an operationally independent body, set up under the Financial Services and Markets Act 2000 and funded by a levy on authorised financial services firms. The rules of the FSCS are made by the Financial Conduct Authority (FCA) and are contained in its handbook. [2] The FSCS board of directors is appointed by and ultimately accountable to ...
UK Parliament passed the proposed legislation in December 2013, leading to the FCA and Prudential Regulation Authority applying the legislation to the banking sector from March 2016. Parliament made further legislative changes in May 2016, extending the regime to all FSMA authorised firms. SM&CR replaced the preceding Approved Persons Regime.
In August 2020, Archax announced becoming the first FCA-regulated digital securities exchange, broker and custodian in the UK. [citation needed] According to Bloomberg, Archax had asked the UK Financial Conduct Authority to regulate it. [11] [12] [13] In October, Archax closed its seed raise with a total funding of $8 million. [14] [15] [16] [17]
The term is commonly used in the United Kingdom where IFAs are regulated by the Financial Conduct Authority (FCA) and must meet strict qualification and competence requirements. Typically an independent financial adviser will conduct a detailed survey of a client’s financial position, preferences and objectives; this is sometimes known as a ...