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Showing 171 to 180 of 272 search results for identification and management of conflicts.

  1. FCA bans Angela Burns from acting as a non-executive director and fines her for her failure to declare conflicts of interest

    Press Releases Published: 14/12/2018 Last modified: 14/12/2018
    The Financial Conduct authority (FCA) has banned Angela Burns from acting as a non-executive director (NED) and fined her £20,000 for failing to act with integrity at two mutual societies.

  2. FCA to investigate competition in investment and corporate banking services following review of wholesale markets

    Press Releases Published: 19/02/2015 Last modified: 19/02/2015
    Feedback received to date included concerns around transparency, conflicts of interest and the impact that bundling services together has on competition, including new firms’ ability to enter the market. ... The FCA will consider undertaking a market

  3. Implementing Technology Change

    Firms Multi-firm reviews Published: 05/02/2021 Last modified: 05/02/2021
    This review sets out the findings from our cross-Financial Services change management review which looked at how financial firms manage technology change, the impact of change failures and the practices utilised within the industry to help reduce

  4. FCA publishes decision notice against Alistair Burns deciding to ban him and fine him

    Press Releases Published: 01/12/2016 Last modified: 10/11/2017
    The Financial Conduct Authority has today published a Decision Notice in respect of Alistair Burns, Chief Executive at TailorMade Independent Limited (TMI).

  5. Fair and effective markets review

    Speeches Published: 14/07/2015 Last modified: 23/10/2015
    And particularly, for those same investors who need government securities increasingly as high-quality collateral for their risk management trades. ... The code will set out clear expectations for the operation of these markets, including on issues such

  6. Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms

    Statements Published: 03/04/2020 Last modified: 22/09/2022
    Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms

  7. CP21/30: Debt packagers: proposals for new rules

    Consultation papers Published: 17/11/2021 Last modified: 02/06/2023
    We seek views on proposed new rules to ban debt packagers from receiving referral fees from debt solution providers.

  8. Barclays fined £26m for failings surrounding the London Gold Fixing and former Barclays trader banned and fined for inappropriate conduct

    Press Releases Published: 23/05/2014 Last modified: 24/03/2015
    The investigation and outcomes in that case meant that the firm, and Plunkett, were clearly on notice of the potential for conflicts of interests around benchmarks. ... Barclays also breached Principle 8 by failing to adequately manage certain conflicts

  9. FG17/8: Streamlined advice and consolidated guidance

    Finalised guidance Published: 28/09/2017 Last modified: 11/05/2018
    This is our finalised guidance on streamlined advice and the fact find process. The summary of feedback outlines the response to our consultation.  We have updated it to include guidance from our Advice Unit in response to queries received from

  10. Practical implications of US law on EU practice

    Speeches Published: 19/01/2017 Last modified: 20/01/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe.
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