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Showing 231 to 240 of 272 search results for identification and management of conflicts.
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Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR). -
Comparison of banking providers’ fraud controls
This page contains information about banks’ fraud controls. It is intended to enable consumers and consumer groups to compare how banks protect their customers against fraud, and to help consumers to make better informed choices about their -
Competition and conduct regulation in financial services
Speech by Christopher Woolard, Director of Policy, Risk and Research, the FCA, at the Regulatory Policy Institute's Annual Competition and Regulation Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
Consumers struggling to understand structured products as Financial Conduct Authority calls for improvements from firms
A behavioural economics research paper published today by the Financial Conduct Authority (FCA) has found that many consumers overestimate the expected returns on structured deposits. -
FSA publishes its Internal Audit Report on: review of the extent of awareness within the FSA of inappropriate LIBOR submissions
The Financial Services Authority (FSA) has published its Internal Audit Report (the Report) on the London Interbank Offered Rate (LIBOR). -
The retrospective application of rules: feedback on the call for examples
We asked firms to provide examples of the retrospective application of regulatory rules -
The FCA has today published Decision Notices in respect of three former members of Keydata’s senior management: Stewart Ford, Mark Owen and Peter Johnson
The FCA has today published Decision Notices in respect of three former members of Keydata’s senior management: Stewart Ford, Mark Owen and Peter Johnson. ... In the FCA’s opinion, Mr Owen’s commissions were not properly disclosed, nor was Mr -
Transforming to a forward-looking, proactive regulator
Speech by our CEO, Nikhil Rathi, delivered at the FCA’s Our Role and Business Plan webinar. -
Our Perimeter Report
Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products -
Listening up to level up – regulating finance for the whole of the UK
Speech by Charles Randell, Chair of the FCA, at the Centre for Commercial Law Studies, Queen Mary University of London.