Search results
Showing 141 to 150 of 241 search results for identification and management of conflicts of interest.
-
FCA review finds evidence of life insurance and advisory firms ‘undermining the objectives of the RDR’ and consults on new guidance
The Financial Conduct Authority (FCA) has published a review to find out whether firms continue to be influenced by inducements from product providers, despite the Retail Distribution Review (RDR) coming into effect in January 2013 -
Skilled person reviews
Find out about skilled person reviews, the Skilled Person Panel, and the number of reviews the FCA commissions. -
Apply to become a general insurance intermediary
Learn how to apply to the FCA for authorisation if you're a general insurance intermediary, Lloyds and London Market Intermediary or a price comparison website. -
Wholesale Conduct Risk
The root causes of much that goes wrong in wholesale markets are constant - risks exist in managing information flows, conflicts of interest and trader controls. ... Do firms provide management information for supervisors that is useful, timely and -
Corporate finance firms
Find out what permissions you'll need to apply to the FCA for authorisation, how much you'll need to pay and what the FCA expects to see in your application. -
CP21/30: Debt packagers: proposals for new rules
We seek views on proposed new rules to ban debt packagers from receiving referral fees from debt solution providers. -
Our approach to cyber security in financial services firms
Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the FT Cyber Security Summit. -
A test of conscience
And certainly, there’s been genuine sectorial interest in terms of delivering reform here. ... Forms of identification, for example, as well as impaired or unusual credit histories, medical histories, specific age profiles and so on. -
Trust and confidence - ensuring firms’ ethics are built around their customers
Speech by Clive Adamson, Director of Supervision, at the Insurance Institute of London, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Modelling integrity through culture
Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.