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Showing 61 to 70 of 272 search results for identification and management of conflicts.

61. FCA puts the spotlight on debt management firms

    Press Releases Published: 15/03/2019 Last modified: 15/03/2019
    The Financial Conduct Authority (FCA) has today published its second thematic review of the debt management sector, looking at commercial and not-for-profit firms that provide debt advice and administer debt management plans to help customers deal

62. Competition and investment banking

    Speeches Published: 09/07/2014 Last modified: 09/07/2014
    The management of conflicts is not just down to the agents. ... For example, capital requirements that create barriers to entry may be essential for risk management or consumer protection.

63. FCA fines LJ Financial Planning Ltd £107,200

    Press Releases Published: 10/12/2020 Last modified: 10/12/2020
    Independent financial advice firm is fined for providing its customers with unsuitable pension switching and transfer advice and failing to manage its conflicts of interest.

64. Proxy advisors

    Markets Published: 18/12/2019 Last modified: 17/04/2024
    Proxy advisors offer research, advice or recommendation services. Read more about the Proxy Advisors Regulations, joining our public list and reporting breaches.

65. Consumer Duty – information for firms

    Tasks for firms Published: 02/10/2022 Last modified: 26/06/2024
    To help firms implement the Duty, we explain more on the areas of the Duty that we have been receiving firm queries on which are relevant for the wider market.

66. FCA fines GAM International Management and former Investment Director Timothy Haywood

    Press Releases Published: 30/03/2022 Last modified: 30/03/2022
    The Financial Conduct Authority (FCA) has fined asset manager GAM International Management Limited (GIML) and Timothy Haywood, a former Investment Director and Business Unit Head at GIML.

67. Depositaries

    Focus areas Published: 08/06/2016 Last modified: 01/02/2023
    How to apply to act as a depositary of an authorised or unauthorised Alternative Investment Fund.

68. Skilled person reviews

    About us How we regulate Published: 20/04/2016 Last modified: 27/05/2022
    Find out about skilled person reviews.

69. Competition and Asset Management Conference overview

    News stories Published: 06/11/2015 Last modified: 17/11/2015
    Last week the FCA and Said Business School jointly hosted a two-day conference to explore a range of questions that are of interest to regulators, academics and practitioners.

70. Knowledge Base

    Markets Primary markets Published: 02/05/2016 Last modified: 29/04/2024
    The Knowledge Base is our source of technical guidance on our Listing Rules, Prospectus Regulation Rules and Disclosure and Transparency Rules.