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Showing 521 to 530 of 1206 search results for asset management study.

  1. External audit requirements

    Tasks for regulated firms Published: 11/05/2015 Last modified: 09/02/2023
    Some firms need to appoint an auditor to do an external audit. Read more about the external audit requirements for firms that are not PRA-regulated.

  2. 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

  3. FCA Final Notice 2014: Pritchard Stockbrokers Limited (In Special Administration) [pdf]

    Final notices Published: 09/10/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 1, PRIN 2, PRIN 10 related to client money/assets in the asset management sector. We imposed a public censure.

  4. FSA - GC10/6 [pdf]

    Guidance consultations Published: 30/11/2010 Last modified: 11/07/2016
    This guidance is likely to be of most relevance to all ILAS BIPRU firms, although smaller firms will need to consider the content of this letter proportionately and in the context of their own business model.

  5. Mercier International Group (aka Ainsley Consulting SL) / Mercier asset Management Inc

    Warnings Published: 01/01/2009 Last modified: 28/11/2014
    We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself.

  6. Swiss Privilege

    Warnings Published: 12/04/2018 Last modified: 12/04/2018
    Swiss Privilege is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals.

  7. Final Notice 2018: Andrew Hind [pdf]

    Final notices Published: 15/11/2018
    This final notice (Andrew Hind) refers to breaches of FIT related to a lack of fitness/propriety in the asset management sector. We imposed a prohibition.

  8. 2016 Disclosure Log

    Last modified: 30/01/2020
    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 2016. 

  9. Brexit resources

    Focus areas Published: 09/03/2018 Last modified: 12/08/2022
    This page lists our news and statements, speeches, publications and other pages related to Brexit.

  10. Edmond de Rothschild Private Merchant Banking / Edmond de Rothschild Asset Management (Clone of FCA authorised firms)

    Warnings Published: 17/02/2021 Last modified: 10/05/2021
    Edmond de Rothschild Private Merchant Banking / Edmond de Rothschild Asset Management (Clone of FCA 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