Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 711 to 720 of 1206 search results for asset management study.

  1. Meeting the pace of technological change

    Speeches Published: 06/11/2019 Last modified: 06/11/2019
    Speech by Nick Cook, Director of Innovation at the FCA, delivered at the Chief Data Officer Exchange Financial Services conference in London

  2. External audit requirements for insurance intermediaries

    Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
    Insurance intermediary audit requirements for firms. Read more about what you need to do.

  3. FX Jupiter (clone of FCA authorised firm)

    Warnings Published: 17/02/2017 Last modified: 21/11/2020
    We have published this statement in order to warn consumers against dealing with unauthorised firms.

  4. Financial promotions data 2022

    Data Published: 03/02/2023 Last modified: 03/02/2023
    The FCA publishes data on the number of financial promotions that it has taken action on to mitigate non-compliance with the FCA's rules. This data is for January 2022 to 31 December 2022.

  5. The journey to a sustainable credit market

    Speeches Published: 26/03/2015 Last modified: 26/03/2015
    Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the Credit Summit. This is the text of the speech as drafted, which may differ from the delivered version.

  6. News for customers of Hume Capital Securities (HCS)

    Statements Published: 17/03/2015 Last modified: 17/03/2015
    The Special Administration Regime (SAR) introduced by the government in 2011 helps sort out situations where investment firms, which hold clients’ money and/or assets under the FCA’s Client Asset ... This is to ensure that client money and custody

  7. Open regulators and open markets

    Speeches Published: 21/02/2024 Last modified: 21/02/2024
    Speech by Ashley Alder, Chair, delivered at the UK Mission to the European Union.

  8. Summary of key publications

    Focus areas Published: 22/07/2019 Last modified: 14/05/2024
    Publications listed from the FCA's work on high-cost credit.

  9. Financial promotions quarterly data 2024 Q1

    Data Published: 26/04/2024 Last modified: 26/04/2024
    We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 January 2024 and 31 March 2024.

  10. Sanctum Asset Management / Sanctum Fixed Income / sanctum-bond.co.uk / sanctum-am.co.uk (Clone of FCA Authorised firm)

    Warnings Published: 28/12/2023 Last modified: 13/06/2024
    Sanctum Asset Management / Sanctum Fixed Income / sanctum-bond.co.uk / sanctum-am.co.uk (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