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Showing 591 to 600 of 1206 search results for asset management study.

  1. FCA Decision Notice 2015: Mark John Owen [pdf]

    Decision notices Published: 26/05/2015 Last modified: 26/05/2015
    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, failing to act on information appropriately in the Asset Management sector. Our view is that a

  2. St James’s Investments/ St James’s Asset Management LLP (clone of FCA authorised firm)

    Warnings Published: 15/07/2014 Last modified: 18/05/2024
    St James’s Investments/ St James’s Asset Management LLP (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 of

  3. FCA Final Notice 2013: Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited [pdf]

    Final notices Published: 02/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3, PRIN 10 and CASS related to client money in the asset management sector. We imposed a financial penalty.

  4. Credit Suisse Asset Management / Credit Suisse Group AG (Clone of FCA Authorised firms)

    Warnings Published: 17/06/2020 Last modified: 14/03/2023
    Credit Suisse Asset Management / Credit Suisse Group AG (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 you should be wary of dealing

  5. Final Notice 2018: Angela Burns [pdf]

    Final notices Published: 14/12/2018
    This final notice (Angela Burns) refers to breaches by a non-executive director of APER 1 for failing to declare conflicts of interest and FIT for lack of fitness/propriety. We imposed a fine and prohibition.

  6. Occasional Paper No. 32: Now you see it: drawing attention to charges in the asset management industry [pdf]

    Occasional papers Published: 05/04/2018 Last modified: 13/04/2018

  7. Apply to become a claims management company

    Firm authorisation Published: 27/04/2020 Last modified: 19/12/2023
    Find out how to apply to the FCA for authorisation if you’re a claims management company (CMC) or you provide claims management activities.

  8. Agreements with overseas regulators

    About us What we do Last modified: 17/12/2021
    See the Memoranda of Understanding (MoUs) and other agreements we have with overseas regulators.

  9. UK EMIR for non-financial counterparties

    Markets Markets policy Published: 24/05/2016 Last modified: 11/01/2023
    Read more about non-financial counterparties under UK European Market Infrastructure Regulation (UK EMIR), including reporting to trade repositories and risk mitigation for uncleared trades.

  10. Andbank Asset Management/ Andbank Asset management London (Clone of FCA Authorised Schedule 5 – Operator)

    Warnings Published: 20/05/2022 Last modified: 03/11/2022
    Andbank Asset Management/ Andbank Asset management London (Clone of FCA Authorised Schedule 5 – Operator) 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