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Showing 491 to 500 of 1206 search results for asset management study.

491. FCA Final Notice 2014: David Welsby [pdf]

     Final notices Published: 09/10/2014 Last modified: 07/04/2015
     This final notice refers to breaches of APER 1 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition.

492. RegData help and FAQs

     Registers and systems Published: 04/05/2016 Last modified: 13/02/2023
     You can find help and/or FAQs on all the Gabriel data items below and via the links to the right.

493. FSA Final Notice 2006: Shahzad Bamdad Shirazi (trading as Specialists Asset Management) [pdf]

     Final notices Published: 01/09/2006 Last modified: 14/06/2014
     FSA Final Notice 2006: Shahzad Bamdad Shirazi (trading as Specialists Asset Management)

494. Client assets and coronavirus (Covid-19)

     Firms Tasks for regulated firms Published: 06/04/2020 Last modified: 13/02/2023
     Summary of queries we have received and our position on client assets (CASS) compliance related to the current disruption caused by coronavirus (Covid-19).

495. Assessing suitability

     Tasks for regulated firms Published: 19/02/2016 Last modified: 06/03/2020
     FCA outlines the process you should follow to assess suitability of for a client

496. FSA Final Notice 2004: Hargreaves Lansdown Asset Management Limited [pdf]

     Final notices Published: 01/06/2004 Last modified: 14/06/2014
     FSA Final Notice 2004: Hargreaves Lansdown Asset Management Limited

497. FSA Application Refusal 2006: Strathardle Asset Management Limited [pdf]

     Final notices Published: 01/05/2006 Last modified: 14/06/2014
     FSA Application Refusal 2006: Strathardle Asset Management Limited

498. FSA Final Notice 2011: Pinnacle Asset Management Limited [pdf]

     Final notices Published: 16/02/2011 Last modified: 14/06/2014
     For the reasons set out in this Final Notice, the FSA is taking action against Pinnacle Asset Management Limited

499. FSA Final Notice 2012: Quintillion Asset Management Limited [pdf]

     Final notices Published: 16/07/2012 Last modified: 14/06/2014
     For the reasons set out in this Final Notice, the FSA is taking action against Quintillion Asset Management Limited

500. Information on cyber incidents Involving asset management firms 2019 - April 2022

     FOI Release Date of Release: 28/04/2022
     The FCA provides data for cyber incidents Involving asset management firms 2019 to April 2022.