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Showing 1141 to 1150 of 1206 search results for asset management study.

1141. The FCA’s approach to supervising wealth management and private banking firms

      Speeches Published: 02/07/2013 Last modified: 18/07/2013
      Speech by Clive Adamson, Director of Supervision, the FCA, at the APCIMS Compliance Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

1142. FCA confirms anti-greenwashing guidance and proposes extending sustainability framework

      Press Releases Published: 23/04/2024 Last modified: 25/04/2024
      Ahead of the anti-greenwashing rule coming into force on 31 May, the FCA is supporting industry with guidance to help them meet the standard.

1143. FCA fines The Bank of New York Mellon London branch and The Bank of New York Mellon International Limited £126 million for failure to comply with the Custody Rules

      Press Releases Published: 15/04/2015 Last modified: 15/04/2015
      concerns about the management of client assets. ... The FSA established a specialist Client Asset Unit in 2010. The Unit carries out specialist and intensive supervision of client assets, with the aim of ensuring that firms have robust systems

1144. FCA confirms new rules for certain open-ended funds investing in inherently illiquid assets

      Press Releases Published: 30/09/2019 Last modified: 30/09/2019
      The Financial Conduct Authority (FCA) has today confirmed new rules which apply to certain types of open-ended fund investing in inherently illiquid assets such as property. The new rules apply to these funds, known as non-UCITS retail schemes (NURSs

1145. FCA fines three broker firms £4,775,200 for failures relating to the detection of market abuse

      Press Releases Published: 08/12/2022 Last modified: 08/12/2022
      The FCA has fined BGC Brokers LP, GFI Brokers Limited and GFI Securities Limited for failing to ensure they had appropriate systems and controls in place to effectively detect market abuse.

1146. Santander UK Plc (Santander) fined £32.8m for serious failings in its probate and bereavement process

      Press Releases Published: 19/12/2018 Last modified: 19/12/2018
      The Financial Conduct Authority (FCA) has fined Santander £32,817,800 for failing to effectively process the accounts and investments of deceased customers.

1147. Market abuse requires a dynamic response to a changing risk profile

      Speeches Published: 13/02/2019 Last modified: 17/05/2019
      We encourage firms to think critically about the front-to-back information management that they need to have in place. ... I fully appreciate that the management of false positives in alerting is a challenging and time-consuming process.

1148. MiFID II costs and charges disclosures review findings

      Multi-firm reviews Published: 28/02/2019 Last modified: 28/02/2019
      As part of our supervision work, we looked at the costs and charges disclosures of a sample of 50 firms authorised as MiFID investment firms in the retail investments sector. We wanted to understand if firms were complying with the new rules and

1149. PS14/12: A new capital framework for Self-Invested Personal Pension (SIPP) operators

      Policy statements Published: 04/08/2014 Last modified: 07/02/2022
      We have outlined our final capital rules for Self-Invested Personal Pension (SIPP) operators, which will come into force on 1 September 2016.

1150. Monitoring orders and transactions – our expectations of firms

      Speeches Published: 31/01/2013 Last modified: 29/03/2013
      Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum