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Showing 481 to 490 of 1206 search results for asset management study.

  1. Information on enforcement action within asset management in 2019 - May 2020

    FOI Release Date of Release: 14/05/2020
    The FCA provides information on enforcement action within asset management in 2019.

  2. FSA Final Notice 2011: Exclusive Asset Management Limited (In Liquidation) [pdf]

    Final notices Published: 08/07/2011 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Exclusive Asset Management Limited (In Liquidation)

  3. Consumer Duty events

    Events Published: 25/09/2022 Last modified: 27/06/2024
    The FCA has run events to help firms understand our expectations for the Consumer Duty and prepare for implementation. Find out about these and watch the webinars.

  4. Financial promotions case studies

    Tasks for firms Published: 09/07/2021 Last modified: 28/05/2024
    Examples of good and bad practice when promoting financial services, and our expectations for promotions to be clear, fair and not misleading.

  5. Limitations on debt permissions

    Tasks for regulated firms Published: 20/03/2017 Last modified: 10/02/2023
    If you are a full permission firm with the permission of debt adjusting and/or debt counselling with a ‘no debt management’ limitation, read how to review the limitations held to ensure they are appropriate for your business.

  6. Man Asset Management / Man Asset Management International (Clone of EEA Authorised firms)

    Warnings Published: 07/09/2020 Last modified: 11/12/2020
    Man Asset Management / Man Asset Management International (Clone of EEA Authorised firms) 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

  7. Campaign resources

    Consumers Published: 09/08/2017 Last modified: 18/06/2024
    Support our ScamSmart campaign - download resources to spread the word about how to avoid investment and pension scams.

  8. Notice of Decision 2024: Attanta Limited formerly known as Neovision Wealth Management Limited [pdf]

    Decision notices Published: 27/02/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  9. Sub-threshold firm notifications

    Firms Published: 08/06/2016 Last modified: 30/01/2023
    Find out how to notify us when a sub-threshold firm exceeds the assets under management (AuM) threshold.

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

    Thematic reviews Published: 31/10/2013 Last modified: 16/01/2014
    Preventing financial crime is a vital element to achieving our objective of protecting and enhancing the integrity of the UK financial system. Two areas where firms may be used to facilitate financial crime are money laundering and bribery and