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Showing 131 to 140 of 272 search results for identification and management of conflicts.

  1. 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

  2. Business Plan 2023/24

    Corporate documents Business plans Published: 04/04/2023 Last modified: 02/07/2024
    The FCA's Business Plan details the work it will do over the next 12 months to help deliver the commitments in its Strategy.

  3. Wholesale sector competition review

    Market studies Published: 09/07/2014 Last modified: 17/03/2015
    In particular, we considered:. markets and market infrastructure. investment banking. asset management. ... These included examples of potential barriers to entry or expansion, information asymmetries, conflicts of interest, and cross-selling or bundling

  4. AI: Flipping the coin in financial services

    Speeches Published: 05/10/2023 Last modified: 05/10/2023
    Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at the City and Financial Global AI Regulation Summit 2023.

  5. Reforming our capital markets ecosystem

    Speeches Published: 29/03/2023 Last modified: 08/01/2024
    Speech by Nikhil Rathi, our Chief Executive delivered at the Global Investment Management Summit.

  6. GC15/3 Primary Market Bulletin No. 11

    Newsletters Published: 30/03/2015 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).

  7. GC15/1 Risks to customers from performance management at firms

    Guidance consultations Published: 16/03/2015 Last modified: 16/03/2015
    GC15/1 Risks to customers from performance management at firms. Guidance consultations First published:. ... All firms should consider:. how their approach to performance management may increase the risk of mis-selling.

  8. FCA bans and fines two individuals for pension advice failings

    Press Releases Published: 20/03/2015 Last modified: 24/03/2020
    Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA).

  9. Independence, confidence and fairness

    Speeches Published: 04/02/2016 Last modified: 04/02/2016
    Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at Bloomberg, in the City of London, on 4 February 2016, London. This is the text of the speech as drafted, which may differ from the delivered version.

  10. Skilled person reviews

    About us How we regulate Published: 19/04/2016 Last modified: 07/03/2024
    Find out about skilled person reviews, the Skilled Person Panel, and the number of reviews the FCA commissions.
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