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Showing 191 to 200 of 241 search results for identification and management of conflicts of interest.

  1. The FCA's response to COVID-19 and expectations for 2020

    Speeches Published: 04/06/2020 Last modified: 04/06/2020
    Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at PIMFA’s Virtual Festival.

  2. FCA publishes complaints data for the second half of 2012

    Press Releases Published: 14/04/2013 Last modified: 17/11/2021
    We have published the latest complaints data showing complaints to financial services firms between July and December 2012.

  3. MiFID II: The future of European trading in the balance

    Speeches Published: 19/09/2014 Last modified: 01/11/2016
    Speech by David Lawton, Director of Markets, at the FCA MiFID II Conference 2014. This is the text of the speech as drafted, which may differ from the delivered version.

  4. Wholesale banks and asset management cyber multi-firm review findings

    Multi-firm reviews Published: 10/12/2018 Last modified: 10/12/2018
    In late 2017 and early 2018 we carried out a cyber multi-firm review with a sample of 20 firms in the asset management and wholesale banking sectors. The firms we selected varied in terms of their size, scale, operating models and geography. These

  5. FCA welcomes the launch of industry code of conduct for ESG ratings and data products providers

    News stories Published: 14/12/2023 Last modified: 14/12/2023
    The International Capital Market Association (ICMA) and the International Regulatory Strategy Group (IRSG) have launched a voluntary code of conduct for Environmental, Social and Governance (ESG) ratings and data products providers.

  6. The expanding scope of individual accountability for corporate misconduct

    Speeches Published: 03/04/2017 Last modified: 05/04/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement

  7. PS14/7: Changes to the use of dealing commission rules: feedback to CP13/17 and final rules

    Policy statements Published: 08/05/2014 Last modified: 23/11/2021
    In this Policy Statement we report on the main issues arising from Consultation Paper 13/17 – Consultation on the use of dealing commission rules, and publish the final rules.

  8. Implementing Technology Change

    Firms Multi-firm reviews Published: 05/02/2021 Last modified: 05/02/2021
    This review sets out the findings from our cross-Financial Services change management review which looked at how financial firms manage technology change, the impact of change failures and the practices utilised within the industry to help reduce

  9. Improving the suitability of financial advice

    Speeches Published: 19/09/2019 Last modified: 03/10/2019
    Speech by Debbie Gupta, Director of Life Insurance and Financial Advice Supervision at the FCA, delivered at Money Marketing Interactive Conference 2019, Harrogate.

  10. Wholesale market policy – a year in review

    Speeches Published: 11/12/2015 Last modified: 11/12/2015
    Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at the ICI Global Trading and Market Structure Conference in London on 8 December 2015. This is the text of the speech as drafted, which may differ from the