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Showing 1071 to 1080 of 1206 search results for asset management study.

  1. Barclays fined £38 million for putting £16.5 billion of client assets at risk

    Press Releases Published: 23/09/2014 Last modified: 30/08/2015
    This breached the FCA’s Client Asset Rules and requirements that firms should have adequate management, systems and controls (Principle 3) and properly safeguard clients’ assets (Principle 10). ... The FSA established a specialist Client Asset Unit

  2. GAP insurers agree to suspend sales following FCA concerns over fair value

    Press Releases Published: 09/02/2024 Last modified: 09/02/2024
    The FCA has today announced that multiple insurance firms have agreed to pause sales of Guaranteed Asset Protection (GAP) insurance, following a request from the FCA.

  3. ajassetmanagement and banque2crypto (clone of FCA authorised firm)

    Warnings Published: 05/07/2019 Last modified: 21/11/2020
    ajassetmanagement and banque2crypto (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. Our approach to ensuring firms treat vulnerable customers fairly

    Speeches Published: 05/03/2020 Last modified: 06/03/2020
    Speech given by Nisha Arora, Director, Consumer and Retail Policy at the TISA Vulnerability Conference.

  5. Information on any incomplete or non-disclosure of value statements - July 2021

    FOI Release Date of Release: 29/07/2021
    The FCA provide information on sanctions against incomplete or non-disclosure of value statements by wealth and asset management firms,

  6. Alternative investment fund manager (AIFM) hosting

    Firms Published: 25/03/2024 Last modified: 25/03/2024
    Information for AIFMs using the host model to manage alternative investment funds (AIFs), known as AIFM hosting.

  7. FCA fines GAM International Management and former Investment Director Timothy Haywood

    Press Releases Published: 30/03/2022 Last modified: 30/03/2022
    The Financial Conduct Authority (FCA) has fined asset manager GAM International Management Limited (GIML) and Timothy Haywood, a former Investment Director and Business Unit Head at GIML.

  8. FCA publishes the interim report of its investment and corporate banking market study and a discussion paper on the IPO process

    Press Releases Published: 13/04/2016 Last modified: 13/04/2016
    FCA publishes the interim report of its investment and corporate banking market study and a discussion paper on the IPO process. ... Terms of reference for the FCA’s investment and corporate banking market study, May 2015.

  9. Bellwethers of the economy: the need to engage with corporate treasurers to shape our markets

    Speeches Published: 21/05/2024 Last modified: 21/05/2024
    Speech by Nikhil Rathi, FCA chief executive, delivered at the Association of Corporate Treasurers Annual Conference 2024.

  10. Jupiter Limited / Jupiterlimited.co.uk (Clone of FCA authorised firm)

    Warnings Published: 04/07/2023 Last modified: 19/03/2024
    Jupiter Limited / Jupiterlimited.co.uk (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