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Showing 1061 to 1070 of 1206 search results for asset management study.

  1. Information on FCA Evaluation of the impact of the Retail Distribution Review - April 2021

    FOI Release Date of Release: 16/04/2021
    The FCA provides details on the surveys for the Retail Distribution Review and the Financial Advice Market Review.

  2. FCA secures interim restitution order against illegal deposit takers

    Press Releases Published: 03/02/2021 Last modified: 20/05/2022
    The Financial Conduct Authority (FCA) has secured an interim restitution order of just over £676,000 against 5 of the 7 defendants accused of carrying on unauthorised deposit taking by accepting money for projects including forex-trading and

  3. Peterhouse Capital / firstpeter.com (Clone of FCA authorised firm)

    Warnings Published: 21/07/2021 Last modified: 21/07/2021
    Peterhouse Capital / firstpeter.com (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

  4. Consumer Investments Strategy - 2 Year Update

    Corporate documents Published: 08/12/2023 Last modified: 13/05/2024
    The FCA provides a 2 year update on its progress against the workstreams and outcomes it committed to in its Consumer Investments Strategy in September 2021.

  5. FCA finds MiFID II research unbundling rules working well for investors

    Press Releases Published: 19/09/2019 Last modified: 19/09/2019
    The Financial Conduct Authority (FCA) has today published multi-firm review findings indicating the Markets in Financial Instruments Directive’s (MiFID II) research unbundling rules have improved asset managers’ accountability over costs, saving

  6. Information on the currently active list of independent financial advisors - November 2020

    FOI Release Date of Release: 26/11/2020
    FCA provides information on independent financial advisors, number of employees, client assets and other financial information.

  7. AC Capital Partners (clone of previously EEA authorised firm)

    Warnings Published: 08/09/2020 Last modified: 08/09/2020
    AC Capital Partners (clone of previously EEA 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

  8. The FCA’s approach to Brexit: our preparations and our vision for the future

    Speeches Published: 19/07/2018 Last modified: 09/10/2020
    Speech delivered by Nausicaa Delfas, Executive Director of International at the FCA, at Bloomberg/TheCityUK.

  9. What are the lessons for insurance supervisors from the recent financial crisis?

    Speeches Published: 12/02/2013 Last modified: 09/04/2024
    Speech by Adair Turner, FSA Executive Chairman at the Swedish Central Bank.

  10. FCA fines and restricts W H Ireland Limited for market abuse risks

    Press Releases Published: 23/02/2016 Last modified: 23/02/2016
    In addition to the breach of Principle 3, WHI also breached the Senior Management Arrangements Systems and Controls (SYSC) rules in the FCA Handbook concerning conflicts of interest. ... At the time the failings took place, WHI had around 9,000 private