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Showing 671 to 680 of 1206 search results for asset management study.
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How the UK will regulate for the future
Speech by Nikhil Rathi, our Chief Executive, delivered at the Peterson Institute for International Economics. -
The coronavirus (Covid-19) financial resilience survey data
The results from the FCA's financial resilience surveys that were sent to 23,000 regulated firms. Through the surveys the FCA is understanding the real-time effect the pandemic is having on the finances of the firms it prudentially regulates. -
Consumer credit reporting
Find out the reporting requirements for firms authorised to carry out regulated consumer credit activities. -
Strand Capital Limited enters administration
Strand Capital Limited (Strand), an investment management firm, formally entered the Special Administration Regime (SAR) insolvency proceedings on 17 May 2017. -
Supervisory correspondence
Find out how the FCA communicates with the firms it supervises. -
Final Notice 2022: GAM International Management Limited [pdf]
The Final Notice refers to breaches of PRIN 2 and 8 related to the management of conflicts of interest in the asset management sector. We imposed a financial penalty. -
Temporary permissions regime (TPR) data: solo-regulated firms
This page provides a data summary of the firms under the temporary permissions regime (TPR). -
External audit requirements for MiFID investment firms
Find out more about external audit requirements for MiFID investment firms, including what you need to do. -
Culture in financial institutions: it’s everywhere and nowhere
Speech by Andrew Bailey, Chief Executive of the FCA, at the HKMA Annual Conference for Independent Non-Executive Directors. -
Wholesale Conduct Risk
to help manage the assets of individuals as they plan for their financial future. ... Do firms provide management information for supervisors that is useful, timely and genuinely helps them supervise their staff?