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Showing 1111 to 1120 of 1206 search results for asset management study.

  1. TR16/6: Principals and their appointed representatives in the general insurance sector

    Thematic reviews Published: 22/07/2016 Last modified: 21/06/2017
    The appointed representatives of these principal firms sold a wide range of products (including home, motor, travel, guaranteed asset protection (GAP) and warranty, as well as products for the SME sector) ... Finally, we visited 14 principals and 25 of

  2. FCA reveals next round of successful firms in its regulatory sandbox

    Press Releases Published: 05/12/2017 Last modified: 06/12/2017
    The Financial Conduct Authority (FCA) today unveils the firms that were successful in their applications to begin testing in the third cohort of the sandbox.

  3. FCA announces proposals to improve climate-related disclosures by listed companies

    Press Releases Published: 06/03/2020 Last modified: 06/03/2020
    FCA announces proposals to improve climate-related disclosures by listed companies

  4. The UK listing regime - developments since the UK Listings Review and next steps for reform

    Speeches Published: 06/02/2024 Last modified: 06/02/2024
    Speech by Clare Cole, Director of Market Oversight, at the Westminster Business Forum.

  5. FCA prohibits and fines Omar Hussein for pension switching advice failings

    Press Releases Published: 15/10/2021 Last modified: 15/10/2021
    The FCA has fined Omar Hussein for providing reckless and unsuitable pension switching advice. Mr Hussein has been fined £116,000.

  6. FCA fines and prohibits hedge fund Chief Investment Officer for market abuse

    Press Releases Published: 15/12/2020 Last modified: 15/12/2020
    The FCA has fined Corrado Abbattista, formerly a portfolio manager, partner and Chief Investment Officer at Fenician Capital Management LLP, £100,000 for market abuse and prohibited him from performing any functions in relation to regulated

  7. Information on monthly cyber incidents for fund administration firms - August 2022

    FOI Release Date of Release: 04/08/2022
    The FCA provides information on cyber incidents for firms that provide administration services to fund management companies.

  8. FG15/8 - FCA's powers and procedures under the Competition Act 1998

    Finalised guidance Published: 14/07/2015 Last modified: 03/05/2022
    Guidance for firms and their advisers setting out our powers and how we investigate and enforce against potential breaches of UK competition law.

  9. State Street UK fined £22.9m by Financial Conduct Authority for Transitions Management failings

    Press Releases Published: 31/01/2014 Last modified: 31/01/2014
    State Street UK fined £22.9m by Financial Conduct Authority for Transitions Management failings. ... A firm must take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems.

  10. Jupiter Fund Management (Clone of UK incorporated firm)

    Warnings Published: 06/04/2018 Last modified: 21/11/2020
    Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this 'clone firm'.