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Showing 251 to 260 of 272 search results for identification and management of conflicts.
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PS14/7: Changes to the use of dealing commission rules: feedback to CP13/17 and final rules
In this Policy Statement we report on the main issues arising from Consultation Paper 13/17 – Consultation on the use of dealing commission rules, and publish the final rules. -
Consumer Investments: Strategy and Feedback Statement
The FCA sets out its view of consumer harm in this market and its 3-year strategy to address this. -
Statement on the Financial Conduct Authority’s review of Royal Bank of Scotland’s treatment of customers referred to its Global Restructuring Group
This statement provides an update on the Financial Conduct Authority’s (FCA) review of Royal Bank of Scotland’s (RBS) treatment of small and medium enterprise (SME) customers in financial difficulty. -
Insurance multi-firm review of outcomes monitoring under the Consumer Duty
Our review of insurance firm approaches to monitoring customer outcomes. -
FSA publishes guidance to help firms avoid poorly managed incentive schemes that drive mis-selling
The Financial Services Authority (FSA) has published final guidance that will help financial firms avoid creating and operating incentives schemes that drive mis-selling. -
Improving the Appointed Representatives regime through greater use of data
This publication includes data from the FCA's 2021 and 2022 data requests sent to principal firms and authorisation information collected from firms. It also outlines how the FCA is improving the Appointed Representatives’ Regime (AR) regime and -
Proceeds of fraud - Detecting and preventing money mules
We share the key findings from our review of payment account providers’ systems and controls against money mule activity. -
FCA publishes the interim report of its investment and corporate banking market study and a discussion paper on the IPO process
As a result, the FCA will undertake supervisory work with a targeted group of banks to better understand how potential conflicts of interests are managed when shares in IPOs are allocated. ... In addition, analysts unconnected with the IPO generally lack -
Financial watchdog bans referral fees for debt packagers to help struggling consumers
The FCA is banning certain providers of debt advice from receiving referral fees from debt solution providers. -
Assessing liquidity for orderly wind-down: good and poor practices from general insurance brokers
We set out findings of our multi-firm review of general insurance brokers, where we have identified areas for improvement which firms can learn from.