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Showing 1 to 10 of 272 search results for identification and management of conflicts.

1. Wholesale banks and asset management cyber multi-firm review findings

   Multi-firm reviews Published: 10/12/2018 Last modified: 10/12/2018
   In late 2017 and early 2018 we carried out a cyber multi-firm review with a sample of 20 firms in the asset management and wholesale banking sectors. The firms we selected varied in terms of their size, scale, operating models and geography. These

2. Sponsor conflicts of interest

   Primary markets Published: 19/09/2018 Last modified: 16/12/2022
   Our rules require sponsors to identify and manage different conflicts of interest. Learn about our involvement in assessing conflicts.

3. TR16/5: UK equity market dark pools – Role, promotion and oversight in wholesale markets

   Thematic reviews Published: 21/07/2016 Last modified: 15/11/2016
   We have surveyed the UK equity marketplace, focusing on dark pools and broker crossing networks, by examining promotional activity and the identification and management of conflicts of interest by dark pool ... We examined the promotion undertaken by

4. FCA publishes thematic review into dark pools

   Press Releases Published: 21/07/2016 Last modified: 21/07/2016
   Firms operating dark pools have made significant progress in addressing the promotion and the management of conflicts of interest according to a new report from the Financial Conduct Authority (FCA) published ... The FCA considered the promotion

5. CP14/21: Feedback and Policy Statement on CP14/02, consultation on joint sponsors and call for views on sponsor conflicts

   Consultation papers Published: 26/09/2014 Last modified: 29/05/2018
   Although sponsor conflict management was not the subject of our consultation in responding to CP14/02 respondents did comment on the current approach to the identification and management of conflicts of ... the call for views in relation to sponsor

6. A regulatory perspective: the drivers of culture and the role of purpose and governance

   Speeches Published: 18/09/2020 Last modified: 25/09/2020
   Marc Teasdale speaks on regulatory perspective, the driver of cultures and the role of purpose and governance.

7. FCA outcomes and metrics

   Data Published: 02/04/2022 Last modified: 01/07/2024
   The FCA is committed to being clear about how it is accountable for its progress. On this page the FCA sets out its outcomes and the metrics it will use to measure them.

8. Inducements and conflicts of interest thematic review: key findings

   Thematic reviews Published: 18/04/2016 Last modified: 18/04/2016
   Inducements and conflicts of interest thematic review: key findings. Thematic reviews First published:. ... In January 2014 we issued Finalised Guidance 14/1: Supervising retail investment advice: inducements and conflicts of interest.This explained our

9. Assessing the value of financial advice

   Speeches Published: 04/12/2017 Last modified: 11/04/2018
   Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to The Personal Investment Management and Financial Advice Association (PIMFA) in London.

10. The challenges for insurance and regulators in a Big Data world

    Speeches Published: 22/11/2016 Last modified: 22/11/2016
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at the Association Of British Insurers (ABI) annual conference.