Search results
Showing 141 to 150 of 272 search results for identification and management of conflicts.
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Skilled person reviews
Find out about skilled person reviews, the Skilled Person Panel, and the number of reviews the FCA commissions. -
Investor protection under MiFID II
Speech by David Geale, Director of Policy, FCA, delivered at the FCA MiFID II Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Other interventions
What the FCA is doing to assess creditworthiness, address harm in motor finance, study the credit information market, review the Consumer Credit Act and consider alternatives to high-cost credit. -
Market abuse in a time of coronavirus
Julia Hoggett speaking on market abuse at the Ciy & Financial Global event. -
International regulatory developments affecting investment management
Speech by Nikhil Rathi, FCA Chief Executive, delivered at the Investment Association Annual Conference 2024. -
Climate change and sustainable finance
The FCA's work on climate change and other environmental, social and governance (ESG) issues. -
Countdown to consumer credit takeover
Speech by Christopher Woolard, Director of Policy, Risk and Research, the FCA, at Frontier Economics, London. -
Firms continue to fail to meet our expectations on their use of dealing commission
We summarise our findings from a review that analysed dealing commission expenditure across 31 investment managers (covering asset managers, wealth managers and host-authorised corporate director providers) between 2012 and 2015. -
Financial crime controls at challenger banks
Ensuring the firms we regulate are effective in preventing financial crime, such as money laundering and sanctions evasion, remains a key priority. This includes testing the financial crime controls of new business models as they enter the UK -
Fair, transparent and competitive: the FCA’s vision for the asset management sector
Speech by Clive Adamson, FCA Director of Supervision, at the FCA Asset Management Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.