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Showing 1041 to 1050 of 1206 search results for asset management study.

  1. External audit requirements for small personal investment firms or service companies

    Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
    Learn more about the external audit requirements for small personal investment firms or service companies and what you need to do.

  2. TR15/12: Wealth management firms and private banks: suitability of investment portfolios

    Thematic reviews Published: 09/12/2015 Last modified: 13/10/2016
    The industry manages over 1.8 million portfolios for customers in the UK and has over £600 billion of their assets under management. ... TR15/12: Wealth management firms and private banks: suitability in investment portfolios [PDF].

  3. PS19/29: Making transfers simpler – feedback to CP19/12 and final rules

    Policy statements Published: 14/03/2019 Last modified: 13/03/2024
    CP19/12: Consultation on Investment Platforms Market Study Remedies

  4. Skilled Persons appointments 2017-2021 information – October 2021

    FOI Release Date of Release: 06/10/2021
    FCA provides Skilled Persons appointments 2017-2021 information.

  5. Joint Bank of England and FCA review of open-ended investment funds

    Statements Published: 13/07/2021 Last modified: 13/07/2021
    In the Report on Assessing the resilience of market-based finance published today, the Bank of England has set out the conclusion to the joint review by the Financial Conduct Authority (FCA) and the Bank of England on open-ended investment funds and

  6. Effective compliance with the Market Abuse Regulation – a state of mind

    Speeches Published: 14/11/2017 Last modified: 15/11/2017
    would not necessarily assert an implied ratio of STORs between asset classes that we feel will be appropriate. ... This applies to whether it’s a change in the nature of products they provide, or indeed, the cross-asset execution platforms they develop.

  7. TR18/5: Management of long-term mortgage arrears and forbearance

    Thematic reviews Published: 06/12/2018 Last modified: 29/11/2021
    FCA findings on how mortgage lenders manage customers with long-term mortgage arrears and provide forbearance to affected customers.

  8. Aggregate complaints data: 2016 H1

    Data and research Published: 06/10/2016 Last modified: 23/05/2022
    The FCA collects complaints data from firms to assess how well they are treating their customers and how firms’ performance changes over time.

  9. FCA opens discussion on regulatory approach to open-ended funds investing in illiquid assets

    Press Releases Published: 08/02/2017 Last modified: 11/04/2024
    The FCA is seeking stakeholder views on investing in illiquid assets through open-ended funds and the challenges that can pose to managers and investors.

  10. Lombard London / Lombard AM (Clone of FCA Authorised firm)

    Warnings Published: 22/12/2020 Last modified: 15/12/2022
    Lombard London / Lombard AM (Clone of FCA Authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm