Search results
Showing 151 to 160 of 241 search results for identification and management of conflicts of interest.
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Apply to become a sponsor
If your firm is looking to act as a Sponsor, there are several steps. Read more about the application process and what happens after you're approved. -
Climate change and sustainable finance
The FCA's work on climate change and other environmental, social and governance (ESG) issues. -
Apply to approve an individual or firm
Find out what you need to know before submitting your application. -
FCA takes action against debt packager firms
5 firms have stopped providing regulated debt advice until further notice and the FCA has used formal powers to stop another firm from providing regulated advice -
FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings
Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA). -
Information on enforcement investigations into senior managers - May 2022
The FCA answers questions multiple questions on enforcement investigations into senior managers. -
FCA takes action against three individuals from SVS Securities for mistreatment of pension funds
Bonds into which they were invested by SVS have since defaulted, with customers unlikely to receive more than a fraction of their investment back. -
FG17/8: Streamlined advice and consolidated guidance
This is our finalised guidance on streamlined advice and the fact find process. The summary of feedback outlines the response to our consultation. We have updated it to include guidance from our Advice Unit in response to queries received from -
Can robo-advice improve borrower repayment decisions?
Analysis showing that a simple automated ‘robo-advice’ tool significantly improved borrower repayment decisions in a randomised controlled trial. -
International regulatory developments affecting investment management
Speech by Nikhil Rathi, FCA Chief Executive, delivered at the Investment Association Annual Conference 2024.