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Showing 161 to 170 of 241 search results for identification and management of conflicts of interest.

  1. FCA fines Standard Life Assurance Limited £30 million for non-advised pension sales failures

    Press Releases Published: 23/07/2019 Last modified: 23/07/2019
    The Financial Conduct Authority (FCA) has today fined Standard Life Assurance Limited (SLAL) £30,792,500 for failures related to non-advised sales of annuities.

  2. Practical implications of US law on EU practice

    Speeches Published: 19/01/2017 Last modified: 20/01/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe.

  3. PS23/5: Debt Packagers: Feedback to CP23/5 and final rules

    Policy and guidance Policy statements Published: 02/06/2023 Last modified: 02/06/2023
    We set out our new rules banning debt packagers from receiving referral fees and summarise feedback to CP23/5 and our response.

  4. FCA wholesale sector competition review – call for inputs

    Press Releases Published: 09/07/2014 Last modified: 09/07/2014
    These include examples of potential barriers to entry or expansion, information asymmetries, conflicts of interest, and cross-selling or bundling of services. ... Market studies are one of the main tools the FCA uses for examining how competition works

  5. Where next for investment and asset management regulation?

    Speeches Published: 28/09/2017 Last modified: 02/10/2017
    Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.

  6. FCA proposes reforms to the availability of information in the UK equity IPO process

    Press Releases Published: 01/03/2017 Last modified: 11/04/2024
    The FCA is proposing a package of measures to reform the availability of information during the UK equity initial public offering (IPO) process.

  7. Reforming our capital markets ecosystem

    Speeches Published: 29/03/2023 Last modified: 08/01/2024
    Speech by Nikhil Rathi, our Chief Executive delivered at the Global Investment Management Summit.

  8. Fair and effective markets review

    Speeches Published: 14/07/2015 Last modified: 23/10/2015
    And particularly, for those same investors who need government securities increasingly as high-quality collateral for their risk management trades. ... The code will set out clear expectations for the operation of these markets, including on issues such

  9. Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation

    Press Releases Published: 31/03/2014 Last modified: 01/04/2014
    The Business Plan also confirmed that a series of new thematic reviews into the conduct of wholesale banking and investment management firms would be undertaken. ... In investment banking, the FCA will look at the issues surrounding conflicts of interest

  10. Conduct risk during LIBOR transition

    Firms Focus areas Markets Markets policy Published: 19/11/2019 Last modified: 09/01/2023
    Questions and answers for firms on conduct risk during LIBOR transition.