Search results
Showing 81 to 90 of 272 search results for identification and management of conflicts.
-
FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly
The conflicts of interest and risks inherent in the side-by-side management of funds require robust risk management systems and controls. ... The business failed to do so in relation to the inherent conflicts of interest and risks associated with the side -
Our ambitious agenda for UK asset management
Speech by Ashley Alder, FCA chair, at the Bloomberg Buy-side Forum. -
FCA Board
The FCA Board holds us accountable for the way we work. Find out more about its role and meet its members. -
Our supervision overview
Speech by Clive Adamson, director of supervision, at the General Insurance conference, London. -
TR: Staff remuneration and incentives
This review looked at how consumer credit firms pay and incentivise their staff and manage the risks arising from these reward arrangements. -
Review of principal firms in the investment management sector
We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are. -
CP13/17: Use of dealing commission
We are consulting on proposed changes to our use of dealing commission rules in our Conduct of Business Sourcebook (COBS). -
CP15/28: Quarterly Consultation Paper No. 10
In chapter 2 of CP15/28we consulted jointly with the Financial Ombudsman Service on rule changes designed to give policyholders receiving advice or a discretionary management service as agent of an ... offshore insurer some of the same protections as -
Remuneration and performance management of sales staff (SYSC 19F)
FCA provides rules on staff incentives and the remuneration of sales staff and advisers. -
The New Market Infrastructure
Keynote speech by David Lawton, Director of Markets, at the Economist Bellwether Conference. This is the text of the speech as drafted, which may differ from the delivered version.