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Showing 111 to 120 of 241 search results for identification and management of conflicts of interest.

  1. Investor protection under MiFID II

    Speeches Published: 20/10/2015 Last modified: 20/10/2015
    Speech by David Geale, Director of Policy, FCA, delivered at the FCA MiFID II Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  2. DP16/3: Availability of information in the UK Equity IPO process

    Discussion papers Published: 13/04/2016 Last modified: 13/04/2016
    firms foster high standards of conduct, in particular in their management of conflicts of interest inherent during the preparation and distribution of ‘connected’ research. ... This will be of interest to institutional and retail investors, corporate

  3. Sustainability

    Speeches Published: 22/07/2014 Last modified: 05/08/2014
    We fined Barclays £26m for failing to manage conflicts of interest relating to the fix. ... Remuneration has been a topic of huge interest over the past few years – usually focused on the very large sums paid to some individuals as bonuses.

  4. Barclays fined £26m for failings surrounding the London Gold Fixing and former Barclays trader banned and fined for inappropriate conduct

    Press Releases Published: 23/05/2014 Last modified: 24/03/2015
    The investigation and outcomes in that case meant that the firm, and Plunkett, were clearly on notice of the potential for conflicts of interests around benchmarks. ... Barclays also breached Principle 8 by failing to adequately manage certain conflicts

  5. Code of Conduct for ESG data and ratings providers

    News stories Published: 22/11/2022 Last modified: 22/11/2022
    The FCA announces the formation of a group to develop a Code of Conduct for Environmental Social and Governance (ESG) data and ratings providers.

  6. FCA steps up focus on fair use of client dealing commission

    Press Releases Published: 10/07/2014 Last modified: 10/07/2014
    Brokers had not given adequate consideration to their potential conflicts of interest when arranging corporate access with some being unclear who they were acting for, corporate or investment manager. ... This was somewhat mitigated by the corporates

  7. Trust and ethics – a regulator’s perspective

    Speeches Published: 16/10/2018 Last modified: 16/10/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at the launch of the St Mary’s University School of Business and Society, London.

  8. Primary Market Bulletin 41

    Newsletters Published: 29/06/2022 Last modified: 29/06/2022
    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,

  9. FCA finds weak price competition in some areas of the asset management sector

    Press Releases Published: 18/11/2016 Last modified: 18/11/2016
    The Financial Conduct Authority (FCA) has today published the interim findings of its asset management market study, which suggests that there is weak price competition in a number of areas of the asset management industry.

  10. Market Watch 73

    Newsletters Published: 26/04/2023 Last modified: 26/04/2023
    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.