Search results
Showing 261 to 270 of 272 search results for identification and management of conflicts.
-
Effective compliance with the Market Abuse Regulation – a state of mind
The new Listing Transactions Department (which is one of two Departments that are responsible for the old UKLA functions of the FCA), encompasses our Transaction Review functions and the management of ... their obligations to be both aware of and manage -
IFPR implementation observations: quantifying threshold requirements and managing financial resources – concluding report
Further observations on how firms are implementing requirements on the Internal Capital Adequacy and Risk Assessment process and reporting under the Investment Firms Prudential Regime. -
Chief Executive speaks at APM about recent work and future challenges
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting. -
Authorised fund managers’ assessments of their funds’ value
This review sets out our findings from our review, where we looked at the processes used by different Authorised Fund Managers (AFMs) when they carry out assessments of value (AoVs or 'Value Assessments') for the funds they operate. -
A strategy for positive change: our ESG priorities
The FCA's environmental, social and governance (ESG) strategy sets out our target outcomes and the actions we expect to take to deliver these, to support the transition to a net zero economy. -
What are the lessons for insurance supervisors from the recent financial crisis?
Speech by Adair Turner, FSA Executive Chairman at the Swedish Central Bank. -
Review of TCFD-aligned disclosures by premium listed commercial companies
Following the introduction of a climate-related disclosure rule as a first step to improving the quality and quantity of disclosures across the corporate sector, we outline our preliminary observations and reiterate our expectations. -
FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme
The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358 -
Principal firms who have Credit Broking permissions: Good practice and areas for improvements
We assessed the key harms and drivers of harm caused by ARs and IARs who undertake credit broking. We found some examples of good and poor practice that we'd like to share with firms, as we think they can improve their practices. -
Consumer Duty implementation: good practice and areas for improvement
What firms are doing well and what they could do better.