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Showing 121 to 130 of 241 search results for identification and management of conflicts of interest.

  1. Other interventions

    Focus areas Published: 22/07/2019 Last modified: 29/06/2023
    What the FCA is doing to assess creditworthiness, address harm in motor finance, study the credit information market, review the Consumer Credit Act and consider alternatives to high-cost credit.

  2. GC15/3 Primary Market Bulletin No. 11

    Newsletters Published: 30/03/2015 Last modified: 03/09/2016
    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).

  3. FCA to investigate competition in investment and corporate banking services following review of wholesale markets

    Press Releases Published: 19/02/2015 Last modified: 19/02/2015
    What was clear from the discussions we had with stakeholders and firms was that there are unanswered questions about potential conflicts of interest and value for money in this market. ... Feedback received to date included concerns around transparency,

  4. FCA fines Barclays £284,432,000 for forex failings

    Press Releases Published: 19/05/2015 Last modified: 17/11/2021
    The Financial Conduct Authority (FCA) has imposed a financial penalty of £284,432,000 on Barclays Bank Plc (Barclays) for failing to control business practices in its foreign exchange (FX) business in London.

  5. Investor protection in the UK: New tools, new challenges

    Speeches Published: 19/09/2014 Last modified: 19/09/2014
    Speech by Maggie Craig, Acting Head of Savings and Investments, at the FCA MiFID II Conference 2014. This is the text of the speech as drafted, which may differ from the delivered version.

  6. FCA publishes decision notice against Alistair Burns deciding to ban him and fine him

    Press Releases Published: 01/12/2016 Last modified: 10/11/2017
    The Financial Conduct Authority has today published a Decision Notice in respect of Alistair Burns, Chief Executive at TailorMade Independent Limited (TMI).

  7. Market Watch 69

    Newsletters Published: 17/05/2022 Last modified: 17/05/2022
    In this Market Watch, we discuss firms’ arrangements for market abuse surveillance, drawing on our observations from engaging with small and medium-sized firms.

  8. Investor engagement in a changing regulatory landscape

    Speeches Published: 13/07/2015 Last modified: 14/07/2015
    Back in 2012, an FSA supervisory review of conflicts of interest in the asset management sector uncovered the increasing use of dealing commissions to pay for this access.When we looked ... the reform of market practices which are currently subject to

  9. Financial watchdog proposes to ban debt packager referral fees to protect consumers

    Press Releases Published: 02/02/2023 Last modified: 02/02/2023
    The FCA is to push ahead with proposals to ban debt packager firms from receiving referral fees from debt solution providers, following further analysis of the market.

  10. Two financial advisers banned and fined after investors lose out

    Press Releases Published: 18/10/2013 Last modified: 18/10/2013
    The FCA has also cancelled the permissions of Bentley-Leek Financial Management, which is now in liquidation. ... created a conflict of interest.