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Showing 571 to 580 of 1206 search results for asset management study.
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Sample business plan
If you're applying to be authorised by the FCA, learn what to include in your regulatory business plan (RBP). -
Apply to become a consumer investments firm
Find out how to apply to the FCA for authorisation if you're a consumer investments firm, such as a financial adviser or investment platform. -
Climate change and sustainable finance
The FCA's work on climate change and other environmental, social and governance (ESG) issues. -
Our approach to international firms
Find out what standards we expect from international firms providing financial services in the UK, or preparing to apply for full UK authorisation. -
Allied Wallet Limited
Liquidators appointed over Allied Wallet. -
FSA data items FAQs
On this page we provide guidance and information for firms on how to complete FSA reports. -
Final Notice 2019: Mark John Owen [pdf]
This final notice (Mark John Owen) refers to breaches by an executive director of APER 1, APER 4 and FIT related to a lack of fitness/propriety and failing to act on information appropriately in the asset management sector. We imposed a fine and -
FCA Final Notice 2013: Montague Capital Limited [pdf]
This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the asset management sector. We imposed a cancellation. -
Quadriga Asset Management (Clone of formerly EEA authorised firm) (clone of FCA authorised firm)
Quadriga Asset Management (Clone of formerly EEA authorised firm) (clone of FCA authorised firm) 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 you should be wary -
Subordinated loans
A firm can use a subordinated loan to meet its own funds requirement if it is made in line with our requirements.