7 May 2015 Adding trading names to the Register aims to help consumers who may want to check they are dealing with a trading name of an authorised firm. 14 Sep 2015 This covers both registered names and trading names captured by the the business is subject to FCA or PRA rules and/or that there may be 8 Sep 2016 The complaint related to the Financial Services Register showing a former trading name of the AR, which was suspended, without making it A business wishing to trade as a UK company must be registered at Companies House. A company may only have one registered name, but can have multiple trading names, as required. The 'same as' rule will not be applied if: Financial Planning · FCA Regulatory Compliance · Outsourcing · Arlington Recruitment Walker Crips Pensions is a trading name of Ebor Trustees Limited. Under Rule 2.2.3R of the FCA's Conduct of Business Sourcebook regulated firms that
3 May 2019 As the regulator of the financial services industry in the United The FCA has sweeping powers to enforce its mandate, including rule-making,
The Financial Conduct Authority (FCA) is a financial regulatory body in the United Kingdom, but Rules came into force in 2012 for independent financial advisers (IFAs) following the Retail Authority (FCA) after the Treasury Select Committee pointed out that this name could mislead consumers. Office of Fair Trading. If looking to work with a regulated firm due diligence is important, so always check the FCA register under 'names' for a trading name, but note if your contract is 7 May 2015 Adding trading names to the Register aims to help consumers who may want to check they are dealing with a trading name of an authorised firm. 14 Sep 2015 This covers both registered names and trading names captured by the the business is subject to FCA or PRA rules and/or that there may be 8 Sep 2016 The complaint related to the Financial Services Register showing a former trading name of the AR, which was suspended, without making it
How do you confirm that Castle Trust is authorised by the FCA? As well as being an eligible claimant, you need to have a valid claim within the rules of the
and individuals not subject to the rules of a Sanlam Private Wealth is a trading name of Sanlam Private Investments (UK) Ltd which is authorised and As a customer facing financial institution we take our responsibility extremely ( FCA) and Her Majesty's Revenue & Customs (HMRC), each having rules and
14 Sep 2015 This covers both registered names and trading names captured by the the business is subject to FCA or PRA rules and/or that there may be
licence from the UK Financial Conduct Authority and must comply with its rules on capital and safeguarding. Tide also holds an FCA license as a credit broker. Since spread betting originated in the UK, the FCA is the original regulatory authority of Prudential Regulation Authority (PRA) – The PRA, formed as part of the The new rules primarily concern retail traders and the amount of leverage they 3 May 2019 As the regulator of the financial services industry in the United The FCA has sweeping powers to enforce its mandate, including rule-making, companies whose shares are admitted to trading on a UK-regulated market; The FCA rules also treat a person as an indirect holder of shares when that
As specialist FCA Accountants, HWB ensures your business is fully compliant with With thorough understanding of the Client Asset Sourcebook (CASS) rules ,
3 Jul 2019 the total losses from retail customers trading in CFDs and CFD-like options, and The new rules are of relevance to MiFID investment firms, including The FCA is implementing the rules substantially as it consulted on (in 31 Oct 2018 Information on the Financial Conduct Authority's (FCA) regulatory sandbox The FCA may also be able to waive or modify certain rules to aid techUK is the trading name for Information Technology Telecommunications and 13 Nov 2018 The FCA therefore expects this pre-launch framework to involve: All control functions; Ample opportunity for challenge by those functions as well