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Showing 741 to 750 of 1206 search results for asset management study.
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MiFID II: retail investment advice firms
A summary of some of the key changes that impact retail investment advice firms, effective from 3 January 2018. -
DP14/3 The use of dealing commission regime
We have carried out a review on whether further changes are needed to deliver a more transparent and efficient asset management sector for end investors. -
Journey towards a conduct regulator
Speech by Clive Adamson, Director of Supervision, the FSA at the Westminster Forum, London -
BNY Mellon Wealth Management (clone of FCA authorised firm)
Fraudsters copy the details of firms we authorise to try and convince people that their firm is genuine. Find out why you shouldn’t deal with this clone firm. -
Previous complaints data
Explore complaints data for previous years. -
FCA and Bank of England statement on joint review of open-ended funds
The Financial Policy Committee has set out initial findings of a joint review by the Financial Conduct Authority and the Bank of England on open-ended investment funds and the risks posed by their liquidity mismatch in its Financial Stability Report. -
FCA proposes CMC fee price cap
We have published proposals to introduce a price cap on the fees claims management companies (CMCs) charge their customers in relation to claims for financial products and services. -
UK Recovery Resolution Directive: key elements
The FCA provides information on 3 key elements: preparation, early intervention and resolution, that make up UK Recovery Resolution Directive -
External audit requirements for authorised professional firms
External audit requirements for authorised professional firms (other than MiFID investment firms). Read more about what you need to do. -
Green Horizon Summit: Rising to the Climate Challenge
Nikhil Rathi Speech, Green Horizon Summit: Rising to the Climate Challenge