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Showing 531 to 540 of 1206 search results for asset management study.

  1. Information on cyber incidents Involving asset management firms Mar to Apr 2022 - May 2022

    FOI Release Date of Release: 31/05/2022
    The FCA provides data on monthly cyber incidents involving asset management firms, dating from March to April 2022.

  2. Apply to be an authorised AIFM

    Markets Published: 05/06/2016 Last modified: 05/07/2023
    Learn how to apply to us to become a full-scope AIFM or a small authorised AIFM, including what permissions you'll need and how much you'll need to pay.

  3. Regulating Financial Promotions and Adverts

    Tasks for firms Published: 04/05/2015 Last modified: 28/05/2024
    Promoting services for deposits, investments, mortgages, insurance or consumer credit must comply with financial promotion rules. Learn how to keep your firm's advertising fair and clear.

  4. Culture and governance

    Speeches Published: 11/11/2015 Last modified: 24/11/2015
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the MetricStream Governance, Risk and Compliance Summit in London. This is the text of the speech as drafted, which may differ from the delivered version.

  5. Final Notice 2022: Timothy Haywood [pdf]

    Final notices Published: 30/03/2022
    The Final Notice refers to breaches of APER 2 and 7 related to the management of conflicts of interest in the asset management sector. We imposed a financial penalty.

  6. Information on asset manager authorisations

    FOI Release Date of Release: 20/08/2021
    The FCA responds to request for information on asset manager authorisations

  7. Consumer credit research: credit cards

    Tasks for regulated firms Published: 06/08/2015 Last modified: 16/02/2023
    Find out about our research into credit cards, some key findings into the market and what we will do next.

  8. Final Notice 2015: Alberto Micalizzi [pdf]

    Final notices Published: 19/03/2015 Last modified: 19/03/2015
    This final notice refers to breaches of APER 1 related to client money/assets, and lack of fitness/propriety in the asset management sector. We imposed a fine and a prohibition.

  9. A to Z of financial terms - Asset management study

    Consumers Published: 20/03/2023 Last modified: 20/03/2023
    A to Z of financial services to help you understand financial and legal terms.

  10. FCA Final Notice 2013: Independent Asset Management U.K. Limited [pdf]

    Final notices Published: 04/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a OIVOP and a cancellation.