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Showing 121 to 130 of 272 search results for identification and management of conflicts.

  1. Submit a change in control notification

    Tasks for firms Published: 12/10/2019 Last modified: 13/12/2023
    Find out how to prepare your notification and understand what happens after you submit it.

  2. FG15/11 - Primary Market Bulletin No. 11

    Newsletters Published: 23/11/2015 Last modified: 03/09/2016
    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).

  3. Market Watch 79

    Newsletters Published: 09/05/2024 Last modified: 09/05/2024
    Newsletter on market abuse surveillance and data governance, surveillance failures and the FCA's model testing peer review, May 2024.

  4. FCA publishes terms of reference for asset management market study

    Press Releases Published: 18/11/2015 Last modified: 18/11/2015
    FCA publishes terms of reference for asset management market study. Press Releases First published:. ... the role of investment consultants and potential conflicts of interest arising from the provision of advice and asset management services.

  5. FCA publishes Wholesale Insurance Brokers Market Study final report

    Press Releases Published: 20/02/2019 Last modified: 07/05/2024
    The FCA has published the final report of its Wholesale Insurance Brokers market study which was launched in November 2017 to assess how competition was working in the sector.

  6. Apply to become a general insurance intermediary

    Firm authorisation Published: 25/10/2023 Last modified: 25/10/2023
    Learn how to apply to the FCA for authorisation if you're a general insurance intermediary, Lloyds and London Market Intermediary or a price comparison website.

  7. Unfair contract terms library

    Tasks for firms Published: 03/08/2015 Last modified: 09/05/2024
    The FCA's work on unfair contract terms including past undertakings, agreements and other publications.

  8. Apply to approve an individual or firm

    Tasks for firms Published: 12/05/2015 Last modified: 27/04/2023
    Find out what you need to know before submitting your application.

  9. FCA steps up focus on fair use of client dealing commission

    Press Releases Published: 10/07/2014 Last modified: 10/07/2014
    The UK is a global centre for asset management – to keep this position it is crucial that investors are confident that they get a fair deal. ... This was somewhat mitigated by the corporates being aware of the potential conflict.

  10. November 2014: Internal Audit report: The identification, handling and management of market sensitive information [pdf]

    Corporate documents Published: 08/02/2016 Last modified: 08/02/2016
    This document was submitted to the Treasury Committee on 01 December 2015 and published by them today. This document is a redacted version of an Internal Audit Report submitted to the Audit Committee of the FCA Board. At the request of the Treasury
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