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Showing 501 to 510 of 1206 search results for asset management study.
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FCA Final Notice 2013: Minona LLP [pdf]
This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the asset management sector. We imposed a cancellation. -
FSA Application Refusal 2004: Target Asset Management Limited (TAML) [pdf]
FSA Application Refusal 2004: Target Asset Management Limited (TAML) -
FCA Final Notice 2014: David Gillespie [pdf]
This final notice refers to breaches of APER 1 and APER 6 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition. -
Greyfriars enters administration
On 23 October 2018, Greyfriars Asset Management LLP ('Greyfriars'), a firm authorised and regulated by the FCA, appointed Adam Stephens and Henry Shinners of Smith and Williamson LLP as joint administrators. -
AIFMD updates
There are several updates the FCA has published on Alternative Investment Fund Managers Regulations. Find out about the FCA's updated guides and forms. -
2014 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2014. -
Depositaries
How to apply to act as a depositary of an authorised or unauthorised Alternative Investment Fund. -
Fund tokenisation
We are working with industry to explore potential uses of fund tokensiation which could make collective investment schemes more efficient, transparent, and accessible to a wider range of consumers. -
2013 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2013. -
2015 fines
This table contains information about fines published during the calendar year ended December 2015. The total amount of fines is £905,219,078.