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Showing 101 to 110 of 272 search results for identification and management of conflicts.

  1. Regulatory hosting services

    Firm authorisation Published: 11/07/2023 Last modified: 09/05/2024
    Read information for principal firms operating as regulatory hosts.

  2. FG15/10 - Risks to customers from performance management at firms

    Finalised guidance Published: 27/07/2015 Last modified: 19/07/2016
    In March 2015 we consulted on proposed guidance to help firms mitigate the risks that are posed to consumers by inappropriate performance management practices in firms.

  3. Early arrears management in unsecured lending: TR16/10

    Thematic reviews Published: 13/12/2016 Last modified: 13/12/2016
    This report provides the findings from our thematic review into early arrears management in unsecured lending. The review looked at the way lenders treated customers in the early stages of arrears.

  4. Derivation and changes tables

    Firms Published: 15/12/2023 Last modified: 15/12/2023
    This page contains an interactive version of the tables derivation and changes tables produced by the FCA in policy statements dealing with the repeal and replacement of retained EU law.

  5. Market Watch 69

    Newsletters Published: 17/05/2022 Last modified: 17/05/2022
    In this Market Watch, we discuss firms’ arrangements for market abuse surveillance, drawing on our observations from engaging with small and medium-sized firms.

  6. Getting the right investor outcomes

    Speeches Published: 24/09/2014 Last modified: 30/09/2014
    Speech by William Amos, Director of Wholesale Banking and Investment Management at the Investment Week Fund Management Summit, London. This is the text of the speech as drafted, which may differ from the delivered version.

  7. Statement on funeral plan provider applications

    Statements Published: 15/02/2022 Last modified: 15/02/2022
    From 29 July 2022, the Financial Conduct Authority (FCA) will regulate funeral plan providers, following a change in the law.

  8. Loan-based crowdfunding platforms: summary of our rules

    New firm authorisation Published: 11/05/2015 Last modified: 13/08/2021
    The following rules may be relevant for firms operating in the loan-based crowdfunding (including peer-to-peer and peer-to-business) market when considering their investment activities.

  9. Balance of interests

    Speeches Published: 26/06/2013 Last modified: 18/01/2017
    Speech by Martin Wheatley, Chief Executive, the FCA, at the International Derivatives Expo, London. This is the text of the speech as drafted, which may differ from the delivered version.

  10. Alternative investment fund manager (AIFM) hosting

    Firms Published: 25/03/2024 Last modified: 25/03/2024
    Information for AIFMs using the host model to manage alternative investment funds (AIFs), known as AIFM hosting.
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