By way of example,a brokerage firm in Cyprus which is authorised and regulated by the Cyprus Securities and Exchange Commission can provide certain investment services to UK customers by notifying the Financial Conduct Authority in the UK of its intention to do so, without requiring the establishmen...
Understanding the Financial Conduct Authority (FCA) The Financial Conduct Authority (FCA) has three operational objectives in support of its strategic goal—to protect consumers, to protect and enhance the integrity of the U.K. financial system, and to promote healthy competition between financial ser...
1. 金融市场行为监管局 金融市场行为监管局(Financial Conduct Authority)负责人韦奕礼(Martin Wheatley)说:“听到英国特许证券与投资协会打算引 … www.ftchinese.com|基于75个网页 2. 英国金融市场行为监管局 根斯勒和英国金融市场行为监管局(Financial Conduct Authority)主管韦奕礼(Martin Wheatley)带领的、由证券监管...
FCA是英国的金融监管机构,它负责监管金融市场,确保市场的正直性、竞争性和消费者的保护; 在外汇市场中,FCA的监管职责包括: 确保金融市场的透明度和公平性; 监督金融服务公司的行为,包括资金的适当管理和客户的公平对待; 保护消费者,确保他们不会受到误导或不公平的金融服务; 促进有效的竞争,以提高金融服务的质量 ...
英国FCA全称Financial Conduct Authority,中文名为“英国金融行为监管局”。英国是目前世界上金融服务最完善、最健全的国家,它通过FCA对所有在其境内注册的金融机构进行严格的监管。
1.1 Contactdetailsofthepersonwewillgetintouchwithaboutthisapplication. Thismustbesomeonewhoworksfortheapplicantfirm. Title Firstname(s) Surname Jobtitle Businessaddress Postcode Phonenumber(includingSTDcode) Mobilenumber(optional) Faxnumber(includingSTDcode) ...
在2013年4月1日之前,在英国的金融服务管理都由英国金融服务管理局负责,即FinancialService Authority(FSA)。随着2007-2008年金融危机的爆发,英国政府决定重新调整金融监管体系,最终FSA被废止,其职能被两个新组织所取代,分别是FCA金融行为监管局与PRA审慎监管局。 审慎监管局主要是负责审慎监管和银行监管、信贷、保险等主...
FCA(Financial Conduct Authority)即英国金融行为监管局,前身是FSA(金融服务局,Financial Services Authority)。FSA在1997年10月28日,由证券投资委员会(SIB)改制为金融服务局(FSA)。FSA直接向英国财政部门负责,除了监管银行业外,举凡保险业、金融产品顾问业、抵押贷款业、保险中介业与衍生性金融商品经纪商等皆纳入FSA的...
Financial Conduct Authority (FCA): Insurance: Conduct of business Sourcebook (ICOBS): Sch 1 The FCA's Insurance: Conduct of Business Sourcebook (ICOBS) applies to firms that carry out insurance business that is not life insurance business, including effecting and carrying out contracts o...
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