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Showing 101 to 110 of 241 search results for identification and management of conflicts of interest.
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Tribunal upholds the Financial Conduct Authority’s decision to censure Arch Financial Products and to fine and ban two of its partners
The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to issue a public censure against Arch Financial Products LLP (Arch), and to prohibit Robin Farrell, its chief executive, and Robert Addison, a senior -
Martin Wheatley calls for greater transparency in the asset management sector at the 2013 FCA Asset Management Conference
Martin Wheatley calls for greater transparency in the asset management sector at the 2013 FCA Asset Management Conference. ... A thematic review that follows up on the FCA’s earlier work looking at conflicts of interest within asset management. -
Fair, transparent and competitive: the FCA’s vision for the asset management sector
Speech by Clive Adamson, FCA Director of Supervision, at the FCA Asset Management Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Statement on funeral plan provider applications
From 29 July 2022, the Financial Conduct Authority (FCA) will regulate funeral plan providers, following a change in the law. -
FG15/11 - Primary Market Bulletin No. 11
Investment management agreements and independence of the board (UKLA/TN/405.1). ... Sponsors: Conflicts of interest (UKLA/TN/701.2). Approval of circulars (UKLA/TN/206.1). Circulars not requiring approval (UKLA/TN/303.1). -
Culture in financial institutions: it’s everywhere and nowhere
Speech by Andrew Bailey, Chief Executive of the FCA, at the HKMA Annual Conference for Independent Non-Executive Directors. -
FCA review finds weaknesses in some ‘host’ Authorised Fund Management firms’ governance and operations
The Financial Conduct Authority (FCA) has called for so-called ‘host’ Authorised Fund Managers (AFMs) to improve their standards following a review of firms published today. -
FS15/1: Discussion on the use of dealing commission
This paper reports on the main issues arising from Discussion Paper DP14/3: Discussion on the use of dealing commission regime, and sets out next steps. -
Firms continue to fail to meet our expectations on their use of dealing commission
We summarise our findings from a review that analysed dealing commission expenditure across 31 investment managers (covering asset managers, wealth managers and host-authorised corporate director providers) between 2012 and 2015. -
GC15/1 Risks to customers from performance management at firms
GC15/1 Risks to customers from performance management at firms. Guidance consultations First published:. ... Middle managers are particularly likely to have to manage conflicts of interest, where they often have to balance their objectives linked to