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Showing 481 to 490 of 554 search results for board effectiveness review.
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TR14/19 – Wealth management firms and private banks – Conflicts of interest: in-house investment products
Findings of our review of conflicts of interest arising from wealth management and private banking firms’ use of in-house investment products (IHPs) in retail discretionary and advisory investment portfolios. -
Bellwethers of the economy: the need to engage with corporate treasurers to shape our markets
Speech by Nikhil Rathi, FCA chief executive, delivered at the Association of Corporate Treasurers Annual Conference 2024. -
FCA further bolsters its leadership team as it expands its headcount
The Financial Conduct Authority (FCA) has appointed six directors as it expands its headcount to meet a growing remit and to achieve its ambitious strategy, which launched in April. The appointments announced today, which fill a mix of new and -
Our response to the CMA’s final report on its investigation into competition in the retail banking market
We have set out the actions we will take forward in the retail banking market in response to a number of recommendations from the Competition and Markets Authority (CMA). -
Firms continue to fail to meet our expectations on their use of dealing commission
We summarise our findings from a review that analysed dealing commission expenditure across 31 investment managers (covering asset managers, wealth managers and host-authorised corporate director providers) between 2012 and 2015. -
Defined contribution workplace pensions: The audit of charges and benefits in legacy schemes
of these schemes that will be overseen by, and report into, an Independent Project Board (IPB). ... It is right that the Independent Project Board looks closely at these arrangements. -
FG18/1: Sourcebook for professional body supervisors on anti-money laundering supervision
We have published our specialist sourcebook for professional body supervisors, that sets out expectations in relation to anti-money laundering supervision. -
FCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives
The Group was referred to the FCA’s Enforcement Division following a risk assessment in May 2012 and the FCA’s predecessor the Financial Services Authority (FSA) thematic review of firms’ ... The FCA has required the firms to conduct further Past -
Millions of customers together save nearly £1 billion due to overdraft rule changes
Improved overdraft rules brought in by the FCA have reduced high fees for unarranged borrowing, removed complex charging structures and introduced help for those who were repeatedly using their overdraft. -
Insurance multi-firm review of outcomes monitoring under the Consumer Duty
Our review of insurance firm approaches to monitoring customer outcomes.