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Showing 611 to 620 of 1206 search results for asset management study.

  1. Other interventions

    Focus areas Published: 22/07/2019 Last modified: 29/06/2023
    What the FCA is doing to assess creditworthiness, address harm in motor finance, study the credit information market, review the Consumer Credit Act and consider alternatives to high-cost credit.

  2. Fast-growing firms (FGFs) multi-firm review

    Multi-firm reviews Published: 10/03/2023 Last modified: 13/03/2023
    We summarise our findings and set out our expectations of FCA solo-regulated fast-growing firms to identify, assess and manage the risks arising from their activities.

  3. FCA Prudential Supervision Forum

    News stories Published: 21/05/2015 Last modified: 30/03/2018
    We are responsible for the prudential regulation of over 24,000 firms in the UK, covering a wide range of sectors – asset managers, investment firms, platforms and a range of infrastructure

  4. Final notice 2016: Peter Francis Johnson [pdf]

    Final notices Published: 19/05/2016 Last modified: 19/05/2016
    This final notice refers to breaches of APER 1, APER 4 and FIT related to failing to be open and co-operative, failing to act on information appropriately, a lack of fitness/propriety and mis-selling in the asset management sector. We imposed a

  5. Enhancing market integrity

    About us What we do Published: 19/04/2016 Last modified: 13/12/2023
    The FCA aims to support a healthy and successful financial system, where firms can thrive and consumers can place their trust in transparent and open markets.

  6. Leading the Way on Regulation

    Speeches Published: 16/05/2019 Last modified: 17/05/2019
    Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019.  

  7. Liquidity data items: FAQs

    Registers and systems Published: 10/05/2016 Last modified: 13/06/2022
    Liquidity data items: FAQs

  8. Market Watch 69

    Newsletters Published: 17/05/2022 Last modified: 17/05/2022
    In this Market Watch, we discuss firms’ arrangements for market abuse surveillance, drawing on our observations from engaging with small and medium-sized firms.

  9. Market Watch 73

    Newsletters Published: 26/04/2023 Last modified: 26/04/2023
    In this edition we share our observations and findings from our recent market abuse peer review into firms that offer Contracts for Difference products and spread bets.

  10. Information for customers of Beaufort Securities Limited (BSL) and Beaufort Asset Clearing Services Limited (BACSL)

    News stories Published: 29/05/2018 Last modified: 15/04/2024
    Information on what you should do if you were a customer of these firms.