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Showing 151 to 160 of 272 search results for identification and management of conflicts.

  1. Dual-regulated firms Remuneration Code (SYSC 19D)

    Tasks for firms Published: 21/06/2015 Last modified: 05/12/2023
    How SYSC 19D applies to dual-regulated firms, comprising banks, building societies and PRA-designated investment firms.

  2. Modelling integrity through culture

    Speeches Published: 19/11/2013 Last modified: 19/11/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

  3. FCA review finds weaknesses in some ‘host’ Authorised Fund Management firms’ governance and operations

    Press Releases Published: 30/06/2021 Last modified: 30/06/2021
    The Financial Conduct Authority (FCA) has called for so-called ‘host’ Authorised Fund Managers (AFMs) to improve their standards following a review of firms published today.

  4. DP16/3: Availability of information in the UK Equity IPO process

    Discussion papers Published: 13/04/2016 Last modified: 13/04/2016
    firms foster high standards of conduct, in particular in their management of conflicts of interest inherent during the preparation and distribution of ‘connected’ research.

  5. FCA makes Market Investigation Reference for investment consultancy services

    Press Releases Published: 14/09/2017 Last modified: 14/09/2017
    The Financial Conduct Authority (FCA) has today confirmed its final decision to make a Market Investigation Reference (MIR) to the Competition and Markets Authority (CMA) in relation to investment consultancy and fiduciary management services.

  6. Apply to become a sponsor

    Markets Published: 04/05/2016 Last modified: 16/12/2022
    If your firm is looking to act as a Sponsor, there are several steps. Read more about the application process and what happens after you're approved.

  7. Investor engagement in a changing regulatory landscape

    Speeches Published: 13/07/2015 Last modified: 14/07/2015
    Back in 2012, an FSA supervisory review of conflicts of interest in the asset management sector uncovered the increasing use of dealing commissions to pay for this access.When we looked ... the reform of market practices which are currently subject to

  8. Information on enforcement investigations into senior managers - May 2022

    FOI Release Date of Release: 27/05/2022
    The FCA answers questions multiple questions on enforcement investigations into senior managers.

  9. Financial promotions quarterly data 2022 Q1

    Data Published: 27/04/2022 Last modified: 22/07/2022
    We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for January 2022 to 31 March 2022.

  10. Wholesale Conduct Risk

    Speeches Published: 24/07/2015 Last modified: 24/07/2015
    And, of course, the management of risk is, and always has been, a key driver for the existence of wholesale markets. ... Do firms provide management information for supervisors that is useful, timely and genuinely helps them supervise their staff?
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