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Showing 1121 to 1130 of 1206 search results for asset management study.
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Fairness, flexibility and the long-term view: the FCA’s vision for the mortgage market
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the UK Finance Annual Mortgage Conference, London. -
Five individuals banned and fined for causing losses to pension customers
The FCA has prohibited five directors of financial advice firms from working in financial services and fined them over £1 million, after they caused significant losses to pension customers. -
Alex Hope and Raj Von Badlo sentenced following FCA prosecution
In sentencing Hope, HHJ Taylor remarked on the sophistication of the scheme which involved the falsification of documents and the management of his persona. ... In April 2012, following information that suggested Hope was operating an unauthorised -
Key findings on our recent work on pension transfer advice
Pension transfers have been a priority for us throughout 2018. Our work has focussed in particular on those firms most active in the market. We have also looked more closely into some firms based on intelligence (for example whistleblowing) we -
Invesco Perpetual - Invesco Asian Precious Metals Fund (www.invescoperpetualfunds.com) (clone of FCA authorised firm)
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. -
Information related to Covid-specific whistleblower allegations - November 2021
The FCA responds to multiple questions regarding Covid-specific whistleblower allegations. -
Call for Input: PRIIPs Regulation – initial experiences with the new requirements
In this Feedback Statement, we summarise responses to our Call for Input on the Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation. We also outline our next steps. -
J.P. Morgan International Bank fined for systems and controls failings in its wealth management business
The Financial Conduct Authority has fined J.P. Morgan International Bank Limited (JPMIB) £3,076,200 for systems and controls failings relating to its provision of retail investment advice and portfolio investment services. -
FCA responds to independent reviews into its regulation of London Capital & Finance and Connaught
The FCA has responded to the independent investigations of its supervision of London Capital & Finance plc (LCF) and Connaught Income Fund Series 1 and connected companies (Connaught) -
Creating a fair and competitive environment for retail banking in the interests of consumers
Speech by Karina McTeague, Director of Retail Banking, the FCA. This is the text of the speech as drafted, which may differ from the delivered version.