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Showing 1181 to 1190 of 1206 search results for asset management study.

  1. CP16/12: Secondary annuity market – proposed rules and guidance

    Consultation papers Published: 21/04/2016 Last modified: 18/10/2016
    This Consultation Paper seeks views on our proposed new rules and guidance for the secondary annuity market, which is due to start in April 2017. 

  2. TR16/5: UK equity market dark pools – Role, promotion and oversight in wholesale markets

    Thematic reviews Published: 21/07/2016 Last modified: 15/11/2016
    We have surveyed the UK equity marketplace, focusing on dark pools and broker crossing networks, by examining promotional activity and the identification and management of conflicts of interest by dark pool ... We examined the promotion undertaken by

  3. Information on the number of interviews held with individuals applying for senior management function roles prior to FCA approval - November 2020

    FOI Release Date of Release: 05/11/2020
    FCA provides information on the number of interviews held with individuals applying for senior management function roles prior to approval.

  4. Portland hill/ www.theportlandhillgroup.com/ www.theportlandhill-group.com (Clone of FCA Authorised firm)

    Warnings Published: 20/11/2023 Last modified: 13/12/2023
    Portland hill/ www.theportlandhillgroup.com/ www.theportlandhill-group.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

  5. FSA fines Zurich Insurance £2,275,000 following the loss of 46,000 policy holders' personal details

    Press Releases Published: 24/08/2010 Last modified: 29/11/2016
    The Financial Services Authority (FSA) has fined the UK branch of Zurich Insurance Plc (Zurich UK) £2,275,000 for failing to have adequate systems and controls in place to prevent the loss of customers’ confidential information. The fine is the

  6. Berkeley Burke SIPP Administration Limited in administration but SIPP business is transferred to Hartley

    News stories Published: 18/09/2019 Last modified: 18/09/2019
    On 18 September 2019 the directors of Berkeley Burke SIPP Administration Limited ('BBSAL'), a firm authorised and regulated by the FCA, appointed Adrian Allen and Diana Frangou of RSM Restructuring Advisory LLP as Joint Administrators

  7. Regulated financial advice firms and individuals that attempt to avoid their redress liabilities

    Tasks for regulated firms Published: 14/12/2018 Last modified: 13/02/2023
    The FCA provides information to regulated financial advice firms

  8. CP15/13: General Insurance Add-ons Market Study – Proposed Remedies: banning opt-out selling and supporting informed decision-making for add-on buyers

    Consultation papers Published: 25/03/2015 Last modified: 25/03/2015
    CP15/13: General Insurance Add-ons Market Study – Proposed Remedies: banning opt-out selling and supporting informed decision-making for add-on buyers. ... Finally, the wider financial services industry may be interested in the proposals as they follow

  9. Insurance multi-firm review of outcomes monitoring under the Consumer Duty

    Insurance Multi-firm reviews Published: 26/06/2024 Last modified: 26/06/2024
    Our review of insurance firm approaches to monitoring customer outcomes.

  10. FCA publishes Decision Notices against three firms and five individuals for acting without integrity in relation to their pension advice business and misleading the FCA

    Press Releases Published: 09/05/2019 Last modified: 09/05/2019
    The Financial Conduct Authority (FCA) has today published Decision Notices in respect of three firms (Financial Page Ltd, Henderson Carter Associates Limited and Bank House Investment Management Limited) and five individuals (Andrew Page, Thomas Ward