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Showing 821 to 830 of 1206 search results for asset management study.

  1. Treasury, Bank of England and FCA convene working group to facilitate investment in productive finance

    Press Releases Published: 20/11/2020 Last modified: 20/11/2020
    The Treasury, the Bank of England and the FCA are convening an industry working group to facilitate investment in productive finance.

  2. First Supervisory Notice 2022: Pello Capital Limited [pdf]

    Supervisory notices Published: 21/12/2022 Last modified: 23/12/2022
    This First Supervisory Notice refers to breaches of Prin 3, 4 and 11 related to failing demonstrate that Pello Capital Limited has adequate and appropriate systems and controls to effectively manage risks. Failing to maintain adequate financial

  3. PS13/10: CRD IV for Investment Firms

    Policy statements Published: 13/12/2013 Last modified: 30/08/2015
    firms that only execute orders and/or manage portfolios, without holding client money or assets. ... management companies, as defined under the UCITS Directive, and alternative investment fund managers (AIFMs), as defined under the AIFMD.

  4. FCA consults on further climate-related disclosure rules

    Press Releases Published: 22/06/2021 Last modified: 22/06/2021
    The FCA has published new proposals on climate-related disclosure rules for listed companies and certain regulated firms.

  5. Outlining the FCA’s approach to authorisation

    Speeches Published: 15/03/2018 Last modified: 15/03/2018
    Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Annual Conference.

  6. Preparing your firm's financial information

    Firms Firm authorisation Published: 25/05/2023 Last modified: 02/05/2024
    Find out what financial information to include before you submit an application to be authorised by us.

  7. London E-Management (clone of FCA authorised firm)

    Warnings Published: 28/01/2019 Last modified: 07/05/2021
    London E-Management (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 why you should be wary of dealing with this unauthorised firm and how

  8. Blankstone Sington Limited (BSL) enters special administration

    News stories Published: 13/10/2023 Last modified: 13/10/2023
    On 13/10/23, Blankstone Sington Limited entered special administration following a Court Order under the Investment Bank Special Administration Regulations 2011. Andrew Poxon, Alex Cadwallader and Hilary Pascoe of Leonard Curtis were appointed joint

  9. Adviser reporting requirements

    Tasks for regulated firms Published: 12/05/2015 Last modified: 09/02/2023
    The FCA needs information to show that you are complying with the Retail Distribution Review (RDR) rules. Learn how to stay compliant.

  10. Data strategy update 2022

    Data Published: 23/06/2022 Last modified: 24/06/2022
    The FCA sets out where it has made progress against its 2020 Data Strategy, where it has more to do, and where it has increased its focus.