Search results
Showing 131 to 140 of 241 search results for identification and management of conflicts of interest.
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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. -
Derivation and changes tables
This page contains an interactive version of the tables derivation and changes tables produced by the FCA in policy statements dealing with the repeal and replacement of retained EU law. -
Wholesale sector competition review
In particular, we considered:. markets and market infrastructure. investment banking. asset management. ... These included examples of potential barriers to entry or expansion, information asymmetries, conflicts of interest, and cross-selling or bundling -
FCA makes Market Investigation Reference for investment consultancy services
The Financial Conduct Authority (FCA) has today confirmed its final decision to make a Market Investigation Reference (MIR) to the Competition and Markets Authority (CMA) in relation to investment consultancy and fiduciary management services. -
Independence, confidence and fairness
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at Bloomberg, in the City of London, on 4 February 2016, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Liquidity Management multi-firm review
Informing the asset management industry of the conclusions and recommendations from our multi-firm review on fund liquidity management. -
Unfair contract terms library
The FCA's work on unfair contract terms including past undertakings, agreements and other publications. -
Submit a change in control notification
Find out how to prepare your notification and understand what happens after you submit it. -
Upper Tribunal upholds FCA decision to fine and ban Chief Executive of TailorMade Independent Limited, Alistair Burns
On 31 July 2018, the Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to prohibit Alistair Burns, Director and CF1 of TailorMade Independent Limited (TMI) from performing any FCA significant influence or senior management -
Countdown to consumer credit takeover
Speech by Christopher Woolard, Director of Policy, Risk and Research, the FCA, at Frontier Economics, London.