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Registrations and authorisations of Thriftidom in the United Kingdom

Liability

Authorisation / Registration

Regulator

National level (United Kingdom)

Registration and compliance under the Money Laundering Regulations and applicable UK anti-money-laundering requirements

FCA - Financial Conduct Authority, London

AML compliance

Membership of a recognised self-regulatory organisation (SRO) for AML and compliance obligations

SRO recognised by FCA / HMRC

Money transmission / custody

Registration related to money transmission or custody of client funds where applicable (national and regional)

FCA and relevant UK financial regulators

Securities and trading

Broker-dealer or trading-platform registration, where applicable

FCA / relevant UK market supervision

Investment advice / asset management

Registration under the Financial Services and Markets Act and/or related rules, where applicable, for investment advice and asset management

FCA, London

Exchanges and trading platforms

Registration as an alternative trading system (ATS) or similar venue, where applicable

FCA / relevant UK market supervision

Regional requirements

Business registration and tax registration in the relevant UK regions

Companies House and HMRC