Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 451 to 460 of 1206 search results for asset management study.

  1. TR15/1: Asset management firms and the risk of market abuse

    Thematic reviews Published: 18/02/2015 Last modified: 10/11/2023
    This paper presents our findings from the thematic review of how asset management firms control the risk of committing market abuse.

  2. Consumer Duty resources

    Tasks for firms Published: 01/11/2023 Last modified: 16/05/2024
    Find publications about the introduction of the Consumer Duty including news, speeches and podcasts.

  3. AIFMD

    Focus areas Published: 08/06/2016 Last modified: 06/02/2023
    The Alternative Investment Fund Managers Regulations (UK AIFMD) provide a regulatory framework for alternative investment fund managers (AIFMs). Find out about the requirements.

  4. Supervision of UK regulated covered bonds

    Published: 13/05/2016 Last modified: 23/06/2023
    Find out about our role supervising regulated covered bond programmes and regulated covered bonds, key features of the regime and stress testing.

  5. Martin Wheatley calls for greater transparency in the asset management sector at the 2013 FCA Asset Management Conference

    Press Releases Published: 30/10/2013 Last modified: 30/10/2013
    Martin Wheatley calls for greater transparency in the asset management sector at the 2013 FCA Asset Management Conference. ... The asset management sector includes 2,100 authorised firms, employs more than 29,000 people across the UK, and holds £5.2

  6. Anti-competitive conduct in the asset management sector: FCA Decisions under the Competition Act 1998 - Annexes [pdf]

    Notices and decisions Published: 22/05/2019

  7. Developing your career

    Published: 28/09/2016 Last modified: 20/10/2022
    Find out how we support you throughout your career with us, with a combination of on-the-job learning and opportunities to join development programmes.

  8. Loan-based crowdfunding platforms: summary of our rules

    New firm authorisation Published: 11/05/2015 Last modified: 13/08/2021
    The following rules may be relevant for firms operating in the loan-based crowdfunding (including peer-to-peer and peer-to-business) market when considering their investment activities.

  9. 2016 fines

    News stories Published: 02/01/2016 Last modified: 02/02/2017
    This table contains information about fines published during the calendar year ending 2016. The total amount of fines is £22,216,446 (excluding Mr Shay Jacob Reches' additional penalty).

  10. Carina Asset Management / Sloane Court Capital / SS & Co Consultancy Limited

    Warnings Published: 16/02/2018 Last modified: 12/04/2018
    We have published this statement to warn consumers against dealing with unauthorised firms.