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Showing 41 to 50 of 272 search results for identification and management of conflicts.
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LTAF valuation and pricing requirements
This page is intended to help investors and potential investors understand how their units in a Long-Term Asset Fund are priced. -
Key workers in financial services
We set out steps firms should take to help identify key workers in financial services. -
Regulated Covered Bonds Register
The Regulated Covered Bonds Register is a public record of all regulated covered bond issuers and regulated covered bonds. See the list of issuers, their bonds and attestations. -
Primary Market Bulletin 37
In this edition we cover the implementation of our postponed rules that require issuers to publish their annual financial reports. We explain the importance of adequate business continuity procedures and review sponsor requirements to identify and -
Assessing suitability
FCA outlines the process you should follow to assess suitability of for a client -
2019 fines
This page contains information about enforcement fines published during the calendar year ending 2019. -
FCA publishes Decision Notice against hedge fund for conflicts of interest failings
We have published a Decision Notice and a financial penalty of £40.8m against BlueCrest Capital Management (UK) LLP -
Shaping the future in asset management
Keynote speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Asset Management Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
TR14/1 – Transition Management Review
TR14/1 – Transition Management Review. Thematic reviews First published:. 10/02/2014. Last updated: 10/02/2014. ... Complexity of TM – It can be a complex and fast-paced form of business and that complexity (including potential conflicts of interest) -
Office for Professional Body Anti-Money Laundering Supervision (OPBAS)
OPBAS is the Office for Professional Body Anti-Money Laundering Supervision