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Showing 11 to 20 of 241 search results for identification and management of conflicts of interest.
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Market abuse requires a dynamic response to a changing risk profile
I fully appreciate that the management of false positives in alerting is a challenging and time-consuming process. ... The dissemination of information about trading behaviours to other clients or indeed the mismanagement of any conflicts of interest by -
TR14/19 – Wealth management firms and private banks – Conflicts of interest: in-house investment products
Findings of our review of conflicts of interest arising from wealth management and private banking firms’ use of in-house investment products (IHPs) in retail discretionary and advisory investment portfolios. -
Asset management: common errors when applying for authorisation
Avoid delays and increase your chances of being authorised to work in the UK asset management sector. -
Review of host Authorised Fund Management firms
We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed. -
MiFID II: product governance review
In this MiFID II review we looked at product governance in a sample of 8 asset management firms. -
What does the future of insurance broking look like?
Speech by Simon Green, Head of General Insurance and Protection, the FCA, at the Incisive Media Insurance Age Regulation event, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Further guidance on enhancing resilience in Liability Driven Investment
The FCA contacted asset managers as they enhance their resilience and review the vulnerabilities they experienced. This publication shares guidance and recommendations for LDI managers. -
The role and responsibilities of a Sponsor
A Sponsor must be appointed and their role clear. Learn about the different principles for sponsors, their role, what they need to provide to us and protection. -
Final Notice 2022: Timothy Haywood [pdf]
The Final Notice refers to breaches of APER 2 and 7 related to the management of conflicts of interest in the asset management sector. We imposed a financial penalty. -
Final Notice 2015: Aviva Investors Global Services Limited [pdf]
This final notice refers to breaches of PRIN 3, PRIN 8 and COBS related to unfair treatment of customers, conflicts of interest and culture / governance in the Asset management sector. We imposed a fine.