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Showing 911 to 920 of 1206 search results for asset management study.

  1. Review of host Authorised Fund Management firms

    Multi-firm reviews Published: 30/06/2021 Last modified: 05/08/2021
    We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed.

  2. UBS fined £9.45m for failings in its sale of an AIG fund

    Press Releases Published: 12/02/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has fined UBS AG (UBS) for failures in the sale of the AIG Enhanced Variable Rate Fund (the Fund). These failures led to UBS customers being exposed to an unacceptable risk of an unsuitable sale of the Fund.

  3. CruxINV/Crux24 (clone of FCA authorised firm)

    Warnings Published: 16/07/2020 Last modified: 21/11/2020
    CruxINV/Crux24 (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 to

  4. FCA establishes industry-led working group for financial advisers

    News stories Published: 16/01/2024 Last modified: 16/01/2024
    The FCA has appointed Daniel Godfrey as chair and Julia Dreblow as vice-chair of a new working group focused on building capability in sustainable finance across the financial advice sector. The Personal Investment Management & Financial Advice

  5. J and E Davy/J&E Davy/Jane Davy (clone of FCA authorised firm)

    Warnings Published: 15/07/2019 Last modified: 21/11/2020
    J and E Davy/J&E Davy/Jane Davy (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

  6. Information on instances where the FCA has used relief powers - August 2021

    FOI Release Date of Release: 17/08/2021
    The FCA provides information on scenarios where relief powers under the FCA Handbook, FEES 2.3.1, were engaged.

  7. FCA widens retail and pensions access to Long Term Asset Funds

    News stories Published: 29/06/2023 Last modified: 29/06/2023
    The FCA has set out new rules to give retail investors and more defined contribution pension schemes access to Long Term Asset Funds (LTAF).

  8. Ten years after Lehman: how accountants can make finance safer

    Speeches Published: 06/09/2018 Last modified: 25/11/2021
    Speech by Charles Randell, Chair of the Financial Conduct Authority and Payment Systems Regulator on how accountants can make finance safer.

  9. FCA secures £350,000 confiscation order against convicted insider dealer

    Press Releases Published: 24/07/2017 Last modified: 24/07/2017
    Today, Her Honour Judge Korner CMG QC sitting at Southwark Crown Court made a confiscation order in the sum of £350,000 against Damian Clarke, a convicted insider dealer. The order must be paid within 3 months or Mr Clarke will face a further 3

  10. Partnerships, priorities and predictions for the future in the pensions market

    Speeches Published: 14/10/2021 Last modified: 25/08/2022
    Speech by Sarah Pritchard, Executive Director, Markets, to the Pensions and Lifetime Savings Association