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Showing 161 to 170 of 272 search results for identification and management of conflicts.
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Our approach to cyber security in financial services firms
Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the FT Cyber Security Summit. -
Culture in financial institutions: it’s everywhere and nowhere
Speech by Andrew Bailey, Chief Executive of the FCA, at the HKMA Annual Conference for Independent Non-Executive Directors. -
Good conduct and market integrity
Speech by Martin Wheatley, CEO, the FCA, at the General Insurance conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA fines Barclays £284,432,000 for forex failings
The Financial Conduct Authority (FCA) has imposed a financial penalty of £284,432,000 on Barclays Bank Plc (Barclays) for failing to control business practices in its foreign exchange (FX) business in London. -
Our approach to international firms
Find out what standards we expect from international firms providing financial services in the UK, or preparing to apply for full UK authorisation. -
Trust and ethics – a regulator’s perspective
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at the launch of the St Mary’s University School of Business and Society, London. -
Tribunal upholds the Financial Conduct Authority’s decision to censure Arch Financial Products and to fine and ban two of its partners
The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to issue a public censure against Arch Financial Products LLP (Arch), and to prohibit Robin Farrell, its chief executive, and Robert Addison, a senior -
Two financial advisers banned and fined after investors lose out
The FCA has also cancelled the permissions of Bentley-Leek Financial Management, which is now in liquidation. ... Despite that they continued to advise clients to invest. Within 17 months, however, Bentley Leek Financial Management was in administration -
Open regulators and open markets
Speech by Ashley Alder, Chair, delivered at the UK Mission to the European Union. -
FCA finds weak price competition in some areas of the asset management sector
The Financial Conduct Authority (FCA) has today published the interim findings of its asset management market study, which suggests that there is weak price competition in a number of areas of the asset management industry.