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Showing 71 to 80 of 272 search results for identification and management of conflicts.
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TR14/9 - Commercial insurance intermediaries - conflicts of interest and intermediary remuneration
We found a number of issues and unmitigated conflicts that could result in intermediaries prioritising their own interests over those of their SME customers. ... Many intermediaries relied on disclosure as the main way to address conflicts of interest -
Heads of compliance and MLROs
Make sure you understand our expectations if your firm is applying to us to approve individuals to these positions. -
Recovery plans – initial observations
In general, the identification and analysis of internal and external interconnectedness was insufficient. ... A large number of firms struggled with the identification and calibration of recovery plan indicators. -
TR19/1: Debt management sector thematic review
This report shares the key findings of our thematic review of the debt management sector.We committed in our 2017/18 Business Plan to assess how the market is operating and whether firms are meeting customer needs and our standards. -
Operational resilience: insights and observations for firms
Make sure your firm is ready to comply with the FCA's operational resilience rules by 31 March 2025. Use our observations to help review your firm’s approach. -
Transparency
The FCA sets out to be open and accountable, so we can be scrutinised by consumers, firms and Parliament. -
FCA calls on insurance intermediaries to better manage conflicts of interest when dealing with small business clients
are remunerated create the potential for conflicts of interest that need to be actively managed. ... The thematic review into Commercial insurance intermediaries - Conflicts of interest and intermediary remuneration. -
DP14/3 The use of dealing commission regime
We have carried out a review on whether further changes are needed to deliver a more transparent and efficient asset management sector for end investors. -
FCA finds firms still failing to fully manage benchmark risks
continue to strengthen governance and oversight of benchmark activity;. continue to identify and manage conflicts of interest;. ... The administrators and submitters to eight benchmarks are now subject to FCA’s standards of governance, controls, -
Conduct risk in FX markets
Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe.