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Showing 511 to 520 of 1206 search results for asset management study.

  1. Portfolio letter: Asset Management & Alternatives Supervisory Strategy - interim update [pdf]

    Correspondence Published: 01/03/2024
    Our refreshed priorities for the AM and Alternatives portfolios following a strategy update.

  2. Knowledge Base

    Markets Primary markets Published: 02/05/2016 Last modified: 29/04/2024
    The Knowledge Base is our source of technical guidance on our Listing Rules, Prospectus Regulation Rules and Disclosure and Transparency Rules.

  3. 2013 fines

    News stories Published: 02/01/2013 Last modified: 26/03/2024
    Fines published during the calendar year ending December 2013.

  4. The Vale Group / Vale Group Asset Management / Vale Group Investments (clone of FCA authorised firm)

    Warnings Published: 20/04/2010 Last modified: 21/11/2020
    Fraudsters copy the details of firms we authorise to try and convince people that their firm is genuine. Find out why you shouldn’t deal with this clone firm.

  5. TR15/1: Asset management firms and the risk of market abuse [pdf]

    Thematic reviews Published: 18/02/2015 Last modified: 18/02/2015

  6. Final Notice 2015: Aviva Investors Global Services Limited [pdf]

    Final notices Published: 24/02/2015 Last modified: 24/02/2015
    This final notice refers to breaches of PRIN 3, PRIN 8 and COBS related to unfair treatment of customers, conflicts of interest and culture / governance in the Asset management sector. We imposed a fine.

  7. Astaria Group

    Warnings Published: 08/02/2019 Last modified: 08/02/2019
    Astaria Group is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals.

  8. Key workers in financial services

    Firms Published: 20/03/2020 Last modified: 10/11/2020
    We set out steps firms should take to help identify key workers in financial services.

  9. Laying myths to rest

    Speeches Published: 17/10/2013 Last modified: 17/10/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at the British Bankers’ Association Annual International Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  10. Citigroup Asset Management / Citibank Asset Management / Citigroup Wealth Management / Citibank Wealth Management (clone) (clone of FCA authorised firm)

    Warnings Published: 04/03/2020 Last modified: 14/06/2021
    Citigroup Asset Management / Citibank Asset Management / Citigroup Wealth Management / Citibank Wealth Management (clone) (clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to