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Showing 541 to 550 of 1206 search results for asset management study.
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Supervisory correspondence
Find out how we communicate with the firms we supervise. -
Final Notice 2017: Damian Frank Clarke [pdf]
This final notice refers to a breach of FIT relating to a lack of fitness/propriety in the asset management sector. We imposed a prohibition. -
Final Notice 2019: Paul Stephany [pdf]
This Final Notice (Paul Stephany) refers to breaches by an individual of Statement of Principle 2 and 3 relating to failing to observe proper standards of market conduct and failing to act with due skill, care and diligence in the asset management -
Delegation arrangements changes
Find out about notifying us of changes to AIFMD delegation and sub-delegation arrangements. -
FSA - Notice of Undertaking: Absolute Assigned Policies [pdf]
Undertakings FSA - Notice of Undertaking: Absolute Assigned Policies - Asset Management -
FCA Decision Notice 2015: Stewart Owen Ford [pdf]
This decision notice refers to breaches of APER 1, APER 4, FIT related to mis-selling, failing to be open and co-operative, lack of fitness/propriety, conflicts of interests, failing to act on information appropriately in the Asset Management sector. -
FCA fee rate movement 2023/24
Find out how to calculate your annual fee and read about the FSCS annual levy. -
Final Notice 2015: Mothahir Miah [pdf]
This final notice refers to breaches of APER 1 and FIT related to lack of fitness/propriety, unfair treatment of customers and conflicts of interest in the asset management sector. We imposed a fine and a prohibition. -
Aberdeen Asset Managers and Aberdeen Fund Management fined £7.2 million for failing to protect client money
The Financial Conduct Authority (FCA) has fined Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited (Aberdeen) £7,192,500 for failing to identify, and therefore properly protect, client money placed in Money Market Deposits (MMDs) -
FCA Final Notice 2013: Praetor Capital LLP [pdf]
This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the asset management sector. We imposed a cancellation.