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TCFD Technical Supplement on the Use of Scenario Analysis
As Published: 2021
…es” published in June 2017 by the Task Force on Climate-related Financial Disclosures, available at: https://www.fsb-tcfd.org 107 the technical supplement entitled “The Use of Scenario Analysis in Disclosur…MAR 9 Annex 7R FCA MDP on-boarding application form
As Published: 2024
R 05/04/2024 The form can be found at this address: https://www.fca.org.uk/publication/forms/mdp_on-boarding_application_form.doc …third party verifier
As Published: 2019
…a person authorised in accordance with paragraph 28(1) of the Securitisation Regulation . [Note: see https://eur-lex.europa.eu/eli/reg/2017/2402/oj 85 a person authorised in accordance with paragraph 28(1) …MAR 5A Annex 1 Form in relation to pre-trade transparency
As Published: 2017
D 03/07/2017 [Editor’s note: The form can be found at this address: https://www.fca.org.uk/publication/forms/mifid-transparency-waiver-form.docx …FCTR 3.2 The FSA’s findings
As Published: 2018
FCTR 3.2.1 G 13/12/2018 1 You can read the findings of the FSA’s thematic review here: https://www.fca.org.uk/publication/archive/fsa-systems-review.pdf …MAR 9 Annex 10 MIS confidentiality agreement
As Published: 2017
D 03/07/2017 1 [ Editor’s note: The form can be found at this address: https://www.fca.org.uk/publication/forms/mis-confidentiality-agreement.docx …PERG 1.5 What other guidance about the perimeter is available from the FCA?
As Published: 2006
…y 2013) which includes discussion whether debt freezes and debt waivers are contracts of insurance ( https://www.fca.org.uk/publication/finalised-guidance/fsa-fg13-02.pdf …CONRED 3.1 Interpretation and application
As Published: 2022
…eans the FCA Defined Benefit Advice Assessment Tool; [ Editor’s note : the FCA DBAAT is available at https://www.fca.org.uk/firms/defined-benefit-pension-transfers …RFCCBS 3.8 Names
As Published: 2023
… obtained. For further information on sensitive business names please refer to our website. [ Note : https://www.the-fca.org.uk/sensitive-names …RFCCBS 8.17 Cancellation
As Published: 2023
…s of registration when the relevant notice is published in the London or Edinburgh Gazette. [ Note : https://www.thegazette.co.uk/ …RFCCBS 8.8 Transfers of engagement
As Published: 2023
… its rules) confirming that it undertakes to fulfil the engagements; (3) transfer form (available at https://www.fca.org.uk/your-fca/documents/forms/transfer-of-engagements-form …SYSC 19D.3 Remuneration principles
As Published: 2017
…irms remuneration principles proportionality rule . This guidance is available on the FCA website at https://www.fca.org.uk/firms/being-regulated/remuneration-codes …CONRED 4 Annex 14 Request for detailed calculation report
As Published: 2022
R 31/03/2023 1 [ Editor’s note : The letter(s) can be found at this address: https://www.handbook.fca.org.uk/form/conred/CONRED_4 ANNEX 14_20233103.docx …MIFIDPRU 4 Annex 9R Notification under MIFIDPRU 4.13.20R – cancellation of K-CMG permission
As Published: 2001
MIFIDPRU 4 Annex 9 R 01/12/2021 1 [Editor’s note: the form can be found at this address: https://www.handbook.fca.org.uk/form/MIFIDPRU 4 Annex 9R Notification under MIFIDPRU 4.13.20R to cancel a K-CMG perm…FCTR 14.2 The FSA’s findings
As Published: 2018
FCTR 14.2.1 G 13/12/2018 1 You can read the findings of the FSA’s thematic review here: https://www.fca.org.uk/publication/archive/banks-defences-against-investment-fraud.pdf …CONRED 4 Annex 9 Redress determination: suitable advice
As Published: 2022
R 28/02/2023 1 [ Editor’s note : The letter(s) can be found at this address: https://www.handbook.fca.org.uk/form/conred/CONRED_4 ANNEX 9_28022023.docx …Securitisation Regulation
As Published: 2018
…65/EC, 2009/138/EC and 2011/61/EU and Regulations (EC) No 1060/2009 and (EU) No 648/2012. [Note: see https://eur-lex.europa.eu/eli/reg/2017/2402/oj The UK version of 180 177 Regulation (EU) 2017/2402 of the…DTR 1.2 Modifying rules and consulting the FCA
As Published: 2012
…arket 4 Oversight Division 2 The Financial Conduct Authority 12 Endeavour Square 3 London, E20 1JN 3 https://www.fca.org.uk/markets/primary-markets/contact/request-individual-guidance …CONRED 4 Annex 17 Redress Determination: payment acceptance not provided
As Published: 2022
R 28/02/2023 1 [ Editor’s note : The letter(s) can be found at this address: https://www.handbook.fca.org.uk/form/conred/CONRED_4 ANNEX 17_28022023.docx …CONRED 4 Annex 2 Consumer within scope/confirming inclusion
As Published: 2022
R 28/02/2023 1 [ Editor’s note : The letter(s) can be found at this address: https://www.handbook.fca.org.uk/form/conred/CONRED_4 ANNEX 2_28022023.docx …