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Showing 31 to 40 of 272 search results for identification and management of conflicts.
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Final Notice 2019: Stewart Owen Ford [pdf]
This final notice (Stewart Owen Ford) refers to breaches by an executive director of APER 1, APER 4 and FIT related to mis-selling, failing to be open and co-operative, a lack of fitness/propriety, conflicts of interest, and failing to act on -
Final Notice 2022: GAM International Management Limited [pdf]
The Final Notice refers to breaches of PRIN 2 and 8 related to the management of conflicts of interest in the asset management sector. We imposed a financial penalty. -
Cryptoassets: AML / CTF regime - Registering with the FCA
You must register with us if you want to provide cryptoasset services that come within the scope of money laundering regulations. Find out if this applies to you and how to register. -
Leadership and conduct
Speech by Martin Wheatley, Chief Executive, the FCA, at City Week 2014: International Financial Services in the Post-Reform World: Opportunities and Challenges. This is the text of the speech as drafted, which may differ from the delivered version. -
AIFMD
The Alternative Investment Fund Managers Regulations (UK AIFMD) provide a regulatory framework for alternative investment fund managers (AIFMs). Find out about the requirements. -
2020 fines
This page contains information about enforcement fines published during the calendar year ending 2020. -
Transparency in asset management
Transparency in asset management. News stories First published:. 30/10/2013. Last updated: 15/08/2014. ... At our annual Asset Management Conference, we outlined our strategy focused on short- and long-term asset management reforms to ensure the UK -
2022 fines
Enforcement fines published in 2022. -
2014 fines
This table contains information about fines published during the calendar year ended December 2014. The total amount of fines is £1,471,431,800. -
Market Watch 74
n this Market Watch, we describe some of our recent supervisory observations, covering RTS 22 transaction reporting and the submission of financial instrument reference data under RTS 23.