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Showing 111 to 120 of 272 search results for identification and management of conflicts.
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FCA fines and restricts W H Ireland Limited for market abuse risks
In addition to the breach of Principle 3, WHI also breached the Senior Management Arrangements Systems and Controls (SYSC) rules in the FCA Handbook concerning conflicts of interest. ... At the time the failings took place, WHI had around 9,000 private -
FS15/1: Discussion on the use of dealing commission
This paper reports on the main issues arising from Discussion Paper DP14/3: Discussion on the use of dealing commission regime, and sets out next steps. -
Liquidity Management multi-firm review
Informing the asset management industry of the conclusions and recommendations from our multi-firm review on fund liquidity management. -
Reporting requirements for CMCs
Learn more about the annual reporting requirements for claims management companies (CMCs). -
Asset management: A regulatory perspective
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at London Business School Annual Asset Management Conference. -
Code of Conduct for ESG data and ratings providers
The FCA announces the formation of a group to develop a Code of Conduct for Environmental Social and Governance (ESG) data and ratings providers. -
FCA publishes warning notice statements for GAM International Management and Timothy Haywood
The Financial Conduct Authority (FCA) has fined GAM international Management Limited £9.1m and Timothy Hayward £230,037 for conflicts of interest and gifts & entertainment matters. -
The coronavirus (Covid-19) financial resilience survey data
The results from the FCA's financial resilience surveys that were sent to 23,000 regulated firms. Through the surveys the FCA is understanding the real-time effect the pandemic is having on the finances of the firms it prudentially regulates. -
A test of conscience
Next, of course, there’ll be challenges further down the structure, for middle management in particular, over the specifics of service delivery. ... Forms of identification, for example, as well as impaired or unusual credit histories, medical histories -
FG15/11 - Primary Market Bulletin No. 11
Investment management agreements and independence of the board (UKLA/TN/405.1). ... Sponsors: Conflicts of interest (UKLA/TN/701.2). Approval of circulars (UKLA/TN/206.1). Circulars not requiring approval (UKLA/TN/303.1).