Search results
Showing 51 to 60 of 272 search results for identification and management of conflicts.
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2016 fines
This table contains information about fines published during the calendar year ending 2016. The total amount of fines is £22,216,446 (excluding Mr Shay Jacob Reches' additional penalty). -
Principles of good regulation
The FCA considers the principles of good regulation when carrying out our work, and regulated firms must comply with our principles for businesses. -
Dealing commission
Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA conference on dealing commission in London. This is the text of the speech as drafted, which may differ from the delivered version. -
Transparency
The FCA sets out to be as open and accountable as possible, so it can be scrutinised by consumers, firms and Parliament. To do this the FCA publishes information about regulated firms and individuals, or it requires firms and individuals to do so. -
Competing on integrity
Speech by Martin Wheatley, Chief Executive of the FCA, at the CFA European Investment Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
Approved Persons Regime
Approved persons carry out certain activities on a firm's behalf and must be regulated by us. Learn about our requirements, conduct rules and 'fit and proper' test. -
Supervision of authorised funds
Information on how our supervision of UK authorised funds protects investors and maintains a competitive market environment. -
FX remediation programme: our next steps
We launched a remediation programme in 2014 to ensure UK foreign exchange (FX) firms addressed the root causes of failings and to drive up standards across the market. Find out how firms should respond to our findings and our next steps. -
Enhancing market integrity
The FCA aims to support a healthy and successful financial system, where firms can thrive and consumers can place their trust in transparent and open markets. -
The supervision of sponsors
Our supervision of sponsors is distinct from our supervision of authorised firms. We focus on ensuring sponsors fulfil their responsibilities under the listing regime.