fca bank of england - prudential regulation authority

Provided by the Financial Conduct Authority

The Financial Services Register

摩杰娱乐vip老虎机|Search the Financial Services Register

The Financial Services Register is a public record that shows details of firms, individuals and other bodies that are, or have been, regulated by the 申博代理登入Prudential Regulation Authority (PRA) and/or the 申博代理登入Financial Conduct Authority (FCA). It also has information on firms regulated by the Financial Services Authority that had cancelled or stopped being regulated before April 2013.

Why search the Register?
You can search the Register to find out whether a firm you are using, or plan to do business with, is authorised or by the PRA and/or FCA, or is exempt. You can also see if a consumer credit firm has interim permission to provide consumer credit.

Other information you can see about a firm or individual includes:

  • the main contact details, trading names and other basic information
  • the 'status' of a firm or individual, e.g. whether they are authorised or approved
  • the name and basic details of some firms and individuals that are providing products or services in the UK or abroad without the required authorisation, approval or exemption from regulation
  • Under the Senior Managers and Certification Regime (SM&CR), for almost all authorised firms, only designated Senior Managers are pre-approved. It is now these firms’ responsibility to assess the fitness and propriety of individuals who fell under the Approved Persons Regime, but who no longer require pre-approval under SM&CR (Customer Functions for example). These individuals will have a current status of ‘regulatory approval no longer required’ on the Register. The Approved Persons Regime continues to apply to individuals holding controlled functions at appointed representatives and benchmark administrators.
  • If an adviser is not listed as approved and you would like to check their status, you should confirm this directly with the firm the adviser is currently working with.

If you deal with a firm (or individual) that is not regulated you may not be covered by the Financial Ombudsman Service or Financial Services Compensation Scheme if things go wrong.

You can also search the Register for individuals that work in an authorised firm and perform roles that have beenapproved by the FCA or PRA.

 

If you’re searching for information on people who carry out customer function roles (CF30 individuals) eg: financial advisers, people who are involved in corporate finance business, people who are involved in dealing or arranging deals in investments and investment managers:

The Senior Managers and Certification Regime (SM&CR) was extended to solo-regulated firms on 9 December 2019. This means that some people working in authorised financial services firms, including CF30s who are people who normally carry out a customer function, will no longer need to be approved by the FCA. This is because under the SM&CR regime, individuals carrying out CF30 functions will need to be certified by their firms.

Solo-regulated firms have one year from this date to certify their staff and submit this information to the FCA.

From end of December 2020, this information will be published on the FS Register. Until then, the existing records on these individuals will remain on the Register. However, as these records will not be up-to-date, users may wish to use the following links to access additional information on these individuals or should contact the firm directly to confirm individuals’ details.

 Accredited Bodies:
  
申博代理登入Chartered Institute for Securities and Investment (CISI) Brokers; Investment Advisers; Investment Managers; Wealth Managers; Financial Planners; Financial Advisers; Discretionary Fund Managers; Private Bankers and Portfolio Managers
Chartered Insurance Institute (CII) Financial Advisers; Mortgage Advisers
London Institute of Banking and Finance (LIBF) Financial Advisers; Mortgage Advisers
The Chartered Banker Institute (CBI) Financial Advisers; Mortgage Advisers
CFA Society of the UK
Please note: if you cannot find the individual you are seeking on the CFA Institute Membership Directory, it may be the case that the individual holds membership directly with the CFA UK instead of the CFA Institute. If you wish to check whether an individual is a member of the CFA UK, please email CFA UK at [email protected]
Research Analyst; Relationship Manager; Investment Manager and Wealth Manager; Portfolio Manager; Fund Manager; Corporate Financial Analyst; Risk Manager; Investment Banking Analyst; Accountant; Auditor; Trader; Broker; Private Banker
 

Other registers
The Mutuals Register is a public record of building societies, credit unions and other registered societies under the Co-operative and Community Benefit Societies Act 2014.

The Regulated Covered Bonds Register is a public record of all regulated covered bonds and their issuers. Covered bonds are a type of secured bond usually backed by mortgages or public sector loans. 

The DRSP, MTF, OTF and SI Register which shows:

  • Data Reporting Service Providers (Approved Reporting Mechanisms (ARMs) and Approved Publication Arrangements (APAs)) authorised by the FCA
  • Multilateral Trading Facilities authorised by the FCA
  • Organised Trading Facilities authorised by the FCA
  • Systematic Internalisers notified to the FCA
­­

The Investment firms register is a public register of investment firms authorised by the FCA that provide or perform MiFID investment services or activities. It does not include firms that would have been exempt under MiFID such as firms doing MiFID optional exemption business or firms that would have been authorised under other directives including UCITS, AIFMD or CRD.

Summary Disclaimer

We try to ensure that the information on this site is correct, but we do not give any express or implied warranty as to its accuracy. We do not accept liability for any error or omission.

Part of this site contains material sent to us by third parties. These third parties are responsible for ensuring that the material they submit to us is accurate and complies with national and relevant foreign law. We are not responsible for any error, omission or inaccuracy in the material. We reserve the right to omit, suspend or edit any material submitted.

For full details on the Legal Information, please click here

The FCA regulates and supervises the conduct of more than 50,000 firms in the UK that provide financial products and services to both UK and international customers.

The PRA is responsible for the ‘prudential regulation’ and supervision of banks, building societies, credit unions, insurers and major investment firms.

The FCA also regulates the prudential standards of firms not covered by the PRA.

Other organisations that can help

Companies Companies House has further information on companies in the UK, including some financial services firms.

Complaints The Financial Ombudsman Service is the free, independent service in the UK for settling disputes between businesses that provide financial products and services, and their customers.

The Claims Management Regulator will regulate companies that offer a service to claim compensation from a firm up the end of March 2019. You should contact it until then if you have complaints about claims handlers (also known as claims management companies). From April 2019, the Financial Conduct Authority will regulate claims management companies.

Compensation The Financial Services Compensation Scheme (FSCS) may be able to compensate certain eligible individuals (and some small businesses) that are, or were, customers of an authorised firm that has been declared ‘in default’.

Firms and individuals can only offer most financial products and services in the UK if they are authorised, registered or approved to do so, or are otherwise exempt.

Yet some act without our authorisation or registration, or without being exempt, and some knowingly run scams.

If you deal with a firm (or individual) that is not regulated you may not be covered by the Financial Ombudsman Service or Financial Services Compensation Scheme if things go wrong. Search for a firm or individual to find out how you are protected.

Protect yourself from scams Find out how to check you are dealing with a regulated firm.

You can see what to do if you have been scammed, are concerned about an investment or have been contacted by fraudsters.

You can also help us protect other people if you report a scam or unauthorised firm.

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