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Showing 651 to 660 of 1206 search results for asset management study.
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Vote Reporting Group
Find out how the group aims to improve shareholder vote reporting by UK asset managers. -
Investec Plc / Investec Asset Management (clone of FCA authorised firms and UK registered company)
Investec Plc / Investec Asset Management (clone of FCA authorised firms and UK registered company) 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 -
Final Notice 2020: Blue Gate Capital Limited [pdf]
This Final Notice (Blue Gate Capital Limited) refers to breaches of PRIN 2 and PRIN 7 related to financial promotions in the asset management sector. We imposed a requirement to pay restitution and a public censure. -
Methodology note on calculating capital pressures
In November 2012 the interim Financial Policy Committee recommended that the FSA takes action to ensure that the capital of UK banks and building societies reflects a proper valuation of their assets, a realistic assessment of future conduct costs -
Principles of good regulation
The FCA considers the principles of good regulation when carrying out our work, and regulated firms must comply with our principles for businesses. -
Final Notice 2020: Charles Schwab UK Limited [pdf]
This Decision Notice / Final Notice refers to breaches of PRIN 10 and 11, CASS and Section 20 FSMA related to failing to be open and co-operative, client money/assets and failing to operate in accordance with permission in the Wealth Management and -
Information for newly authorised firms
As a newly authorised firm, learn about the systems you'll use and important things you need to know. -
Towards more effective stewardship
Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at the LSE in London. -
Cornhill Management SL (clone of FCA authorised firm)
Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this 'clone firm'. -
FCA to review competition concerns in wholesale data markets
The FCA will launch 2 market studies and gather further information to investigate access to wholesale data.