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Showing 761 to 770 of 1206 search results for asset management study.
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FCA introduces new rules on whistleblowing
The rules on whistleblowing, which take full effect in September 2016, apply to deposit-takers (banks, building societies, credit unions) with over £250m in assets, and to insurers subject to the ... In preparation for the new regime, relevant firms -
Dolfin Financial (UK) Ltd enters Special Administration
Following an attempt to wind down solvent, the directors of Dolfin Financial (UK) Limited have applied to the Court to place the firm into Special Administration. -
UK wholesale markets pre-application support service
If you're a wholesale markets firm, find out how our pre-application support service (PASS) can provide extra support before you apply to us for authorisation. -
CP13/17: Use of dealing commission
We are consulting on proposed changes to our use of dealing commission rules in our Conduct of Business Sourcebook (COBS). -
The FCA and the Future of Retail Banking
Speech by Clive Adamson, FCA Director of Supervision, at the Marketforce and the IEA’s 16th Annual Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Liberty SIPP Limited enters administration
On 27 April 2020, the directors of Liberty SIPP Limited, a firm authorised and regulated by the Financial Conduct Authority (FCA), appointed Andrew Poxon & Alex Cadwallader of Leonard Curtis as Joint Administrators ('administrators'). -
H&H Financial Services (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'. -
Financial promotions quarterly data 2022 Q4
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 October 2022 to 31 December 2022. -
What makes good conduct regulation?
Speech by John Griffith Jones, Chairman at the FCA, delivered at the Cambridge Judge Business School. -
AJ Bell (clone of authorised firm)
AJ Bell (clone of 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 why you should be wary of dealing with this unauthorised firm and how to protect