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Showing 471 to 480 of 1206 search results for asset management study.

  1. Prestige-Asset or Prestige Asset Management (Clone of FCA authorised firm)

    Warnings Published: 17/01/2020 Last modified: 21/11/2020
    Prestige-Asset or Prestige Asset Management (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 be wary of dealing with this

  2. Principles of good regulation

    About us How we regulate Published: 21/04/2016 Last modified: 07/07/2016
    We must consider the principles of good regulation when carrying out our work. And regulated firms must adhere to the principles for businesses, which are their fundamental obligations as set out in our Handbook.

  3. Information on open investigations related to the asset management sector - April 2021

    FOI Release Date of Release: 14/04/2021
    The FCA provides information on investigations it has launched in relation to the asset management sector and senior management functions.

  4. TR13/10 - Outsourcing in the Asset Management Industry [pdf]

    Thematic reviews Published: 04/11/2013 Last modified: 04/11/2013
    We have published the findings from our review that assessed whether asset managers are effectively mitigating the risks relating to outsourcing.

  5. Side pockets

    Consumers Your rights Published: 08/09/2022 Last modified: 20/03/2023
    Side pockets could affect anyone who invests in funds that are exposed to Russian assets. Find out more about how side pockets work and what investors can expect.

  6. 2014 fines

    News stories Published: 02/01/2014 Last modified: 31/08/2016
    This table contains information about fines published during the calendar year ended December 2014. The total amount of fines is £1,471,431,800.

  7. 2022 fines

    News stories Published: 28/02/2022 Last modified: 04/01/2023
    Enforcement fines published in 2022.

  8. UK AIFM and NPPR fees

    Tasks for firms Published: 08/06/2016 Last modified: 05/07/2023
    Find out about fees for authorised and registered Alternative Investment Fund Managers (AIFMs), and the National Private Placement Regime (NPPR).

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

    Warnings Published: 16/02/2018 Last modified: 16/02/2018
    Carina Asset Management / Sloane Court Capital / SS & Co Consultancy Limited is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals.

  10. TR13/9 - Anti-Money Laundering and Anti-Bribery and Corruption Systems and Controls: Asset Management and Platform Firms

    Thematic reviews Published: 31/10/2013 Last modified: 30/08/2015
    TR13/9 - Anti-Money Laundering and Anti-Bribery and Corruption Systems and Controls: Asset Management and Platform Firms. ... This review is aimed at asset management firms, fund administrators and platform firms.