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Showing 211 to 220 of 272 search results for identification and management of conflicts.
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IFPR implementation observations: quantifying threshold requirements and managing financial resources
Firms should consider these and how they can strengthen their processes. -
Findings of multi-firm review into insurers' valuation of vehicles
We set out the findings from our review which assesses firms’ claims-handling processes for valuing vehicles which have been stolen or written-off (‘total-loss’ claims). -
FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings
Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA). -
Trust and confidence - ensuring firms’ ethics are built around their customers
Speech by Clive Adamson, Director of Supervision, at the Insurance Institute of London, London. This is the text of the speech as drafted, which may differ from the delivered version. -
The FCA’s approach to supervising wealth management and private banking firms
Speech by Clive Adamson, Director of Supervision, the FCA, at the APCIMS Compliance Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
The drive for data in Non-Bank Financial Intermediation (NBFI)
Speech by Ashley Alder, FCA Chair, delivered at the Managed Funds Associations’ Global Summit -
Financial crime systems and controls during coronavirus situation
Find out about the FCA's expectations on how firms should apply their systems and controls to combat and prevent financial crime during the coronavirus crisis. -
Our approach to competition
The FCA promotes effective competition in the interests of consumers. -
TR15/7: Delegated authority: Outsourcing in the general insurance market
TR15/7: Delegated authority: Outsourcing in the general insurance market. Thematic reviews First published:. 02/06/2015. Last updated: 02/06/2015. TR15/7: Delegated authority: Outsourcing in the general insurance market. This report sets out the -
Improving the suitability of financial advice
Speech by Debbie Gupta, Director of Life Insurance and Financial Advice Supervision at the FCA, delivered at Money Marketing Interactive Conference 2019, Harrogate.