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Showing 91 to 100 of 272 search results for identification and management of conflicts.
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Remuneration and performance management of sales staff (SYSC 19F)
FCA provides rules on staff incentives and the remuneration of sales staff and advisers. -
Market Watch 73
In this edition we share our observations and findings from our recent market abuse peer review into firms that offer Contracts for Difference products and spread bets. -
Looking ahead to 2014
Speech by Martin Wheatley, Chief Executive of the FCA, at the ICI Global Trading and Market Structure Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
The Financial Conduct Authority publishes its findings on transition management
Over £165 billion of assets invested in pensions and other large funds are transferred between investment managers, markets and products every year – potentially affecting the returns enjoyed by millions of consumers on their investments – by -
Information on lead generation firm authorisations - May 2022
The FCA provides data on lead generation firm authorisations. -
Sustainability
We fined Barclays £26m for failing to manage conflicts of interest relating to the fix. ... There can be no doubt that he, and Barclays, were well aware of the risks of conflicts driving inappropriate behaviour and of the considerable public concern -
Information relating to claims management company (CMC) authorisation - October 2021
The FCA responds to questions on the FCA’s register and claims management company (CMC) authorisation. -
Primary Market Bulletin 41
In this edition, we elaborate on our response to feedback received to the discussion chapter included in CP21/18: Enhancing climate-related disclosures by standard listed companies and seeking views on ESG topics in capital markets. In particular, -
Regulation as a spur to growth
Speech by Martin Wheatley, Chief Executive, the FCA, to the Investment Management Association (IMA) at Mansion House, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Principals and appointed representatives
If you’re a principal firm for an appointed representative (AR), find out what your responsibilities are and when to notify the FCA.