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Showing 1172 to 1181 of 1334 search results for ScamSmart investor.

  1. Should you invest?

    Get your immediate finances in order before you invest. Pay off any short-term debt, have an emergency cash fund and consider investing more in your pension.

  2. Occasional Paper No. 21: Asymmetries in Dark Pool Reference Prices

    Occasional papers Published: 15/09/2016 Last modified: 15/09/2016
    Dark pools thus may still offer a valuable service to market participants, as in most cases they provide price improvement and in all cases allow investors not to show their hand

  3. Further guidance on enhancing resilience in Liability Driven Investment

    Multi-firm reviews Published: 24/04/2023 Last modified: 24/04/2023
    The FCA contacted asset managers as they enhance their resilience and review the vulnerabilities they experienced. This publication shares guidance and recommendations for LDI managers.

  4. RBC Wealth Management/ Royal Bank of Canada Wealth Management (clone firm) (clone of FCA authorised firm)

    Warnings Published: 28/03/2014 Last modified: 08/12/2020
    Fraudsters copy the details of firms we authorise to try and convince people that their firm is genuine. Find out why you shouldn’t deal with this clone firm.

  5. TR14/10 - Developments in the distribution of retail investments: Purchasing investments without a personal recommendation or with simplified advice

    Thematic reviews Published: 11/07/2014 Last modified: 25/08/2016
    TR14/10 - Developments in the distribution of retail investments: Purchasing investments without a personal recommendation or with simplified advice. Thematic reviews First published:. 11/07/2014. Last updated: 25/08/2016. TR14/10 - Developments in

  6. FCA resolves High Court proceedings in relation to unauthorised deposit taking

    Press Releases Published: 30/06/2022 Last modified: 01/07/2022
    Mohammed Kabir has agreed to orders to resolve proceedings brought by the FCA relating to an unauthorised deposit taking scheme.

  7. Firms continue to fail to meet our expectations on their use of dealing commission

    Multi-firm reviews Published: 03/03/2017 Last modified: 29/11/2021
    We summarise our findings from a review that analysed dealing commission expenditure across 31 investment managers (covering asset managers, wealth managers and host-authorised corporate director providers) between 2012 and 2015.

  8. Fair, transparent and competitive: the FCA’s vision for the asset management sector

    Speeches Published: 30/10/2013 Last modified: 30/10/2013
    Speech by Clive Adamson, FCA Director of Supervision, at the FCA Asset Management Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  9. Further details of Independent Investigation of Connaught Income Fund Series 1 announced

    Press Releases Published: 27/09/2019 Last modified: 04/10/2019
    Raj Parker has announced that the independent investigation into the approach to, implementation and oversight of the Connaught Income Fund Series 1 (the Fund) is now up and running and is inviting affected individuals to get in touch.

  10. GC14/3 Retail Investment Advice: Clarifying the boundaries and exploring the barriers to market development

    Guidance consultations Published: 11/07/2014 Last modified: 11/07/2014
    research on the experiences of customers purchasing investments without a personal recommendation (‘The motivations, needs and drivers of non-advised investors: A qualitative research report’).

  11. CP16/4: Loan-based crowdfunding platforms and segregation of client money

    Consultation papers Published: 21/01/2016 Last modified: 23/02/2016
    Currently, an investor’s money held by a firm in relation to P2P agreements (money to be lent or received in repayments) must be segregated from the firm’s own money