Search results
Showing 661 to 670 of 1206 search results for asset management study.
-
ING Investment Management (clone)
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’. -
Final Notice 2015: Craig McNeil [pdf]
This final notice refers to breaches of APER 4 and APER 6, FIT, failing to be open and co-operative, lack of fitness/propriety and failing to act on information appropriately in the asset management sector. We imposed a fine and prohibition. -
Locking down market abuse
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the Expert Forum: Market Abuse 2021. -
BlueCrest Wealth (cloned firm)
We believe fraudsters are using the details of an authorised firm to try to convince people that they are genuine. See how to protect yourself from scammers of this ‘cloned firm’. -
Regulation of markets in financial instruments
UK legislation and rules regulating markets in financial instruments are known as the UK MiFID framework. The FCA explains these requirements for investment firms and trading venues. -
Primary Markets enforcement outcomes
A list of recent Primary Markets enforcement outcomes. -
Apply to become a general insurance intermediary
Learn how to apply to the FCA for authorisation if you're a general insurance intermediary, Lloyds and London Market Intermediary or a price comparison website. -
Facing the future – challenges and priorities for the FCA
Speech by our CEO, Nikhil Rathi, given at the Address to the City Regulators, Mansion House. -
Unfair contract terms library
The FCA's work on unfair contract terms including past undertakings, agreements and other publications. -
Credit unions carrying out consumer credit activities
Find out how to notify the FCA or apply for permission to carry out Conditional Sale, Hire Purchase or other types of consumer credit activity.