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Showing 181 to 190 of 272 search results for identification and management of conflicts.
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Insights from the Cyber Coordination Groups
Insights from the Cyber Coordination Groups -
Where next for investment and asset management regulation?
Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017. -
From intellectual certainty to debate
management, to front running? ... The impact of cross-selling on market competition. The potential for conflicts of interest in share allocations during IPOs, and so on and so forth. -
FCA fines Standard Life Assurance Limited £30 million for non-advised pension sales failures
The Financial Conduct Authority (FCA) has today fined Standard Life Assurance Limited (SLAL) £30,792,500 for failures related to non-advised sales of annuities. -
Internal investigations by firms
Speech by Jamie Symington, Director in Enforcement (Wholesale, Unauthorised Business and Intelligence), FCA, delivered at the Pinsent Masons Regulatory Conference 2015 on 5 November 2015. This is the text of the speech as drafted, which may differ -
The expanding scope of individual accountability for corporate misconduct
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement -
FCA takes action against debt packager firms
5 firms have stopped providing regulated debt advice until further notice and the FCA has used formal powers to stop another firm from providing regulated advice -
Primary Market Bulletin 48
This special edition consults on changes we propose to make to guidance in our Knowledge Base -
Can robo-advice improve borrower repayment decisions?
Analysis showing that a simple automated ‘robo-advice’ tool significantly improved borrower repayment decisions in a randomised controlled trial. -
FCA seeks views regarding the Office for Professional Body Anti-Money Laundering Supervision
The Financial Conduct Authority (FCA) has launched a consultation regarding the government-proposed Office for Professional Body AML Supervision (OPBAS).