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Showing 21 to 30 of 241 search results for identification and management of conflicts of interest.

  1. Final notice 2016: W H Ireland Limited [pdf]

    Final notices Published: 23/02/2016 Last modified: 23/02/2016
    This final notice refers to breaches of PRIN 3 and SYSC related to market protection, culture/governance and conflicts of interest in the wealth management and private banking sector. We imposed a fine and restriction.

  2. Final Notice 2015: Mothahir Miah [pdf]

    Final notices Published: 17/11/2015 Last modified: 17/11/2015
    This final notice refers to breaches of APER 1 and FIT related to lack of fitness/propriety, unfair treatment of customers and conflicts of interest in the asset management sector. We imposed a fine and a prohibition.

  3. FCA Decision Notice 2015: Stewart Owen Ford [pdf]

    Decision notices Published: 26/05/2015 Last modified: 27/05/2015
    This decision notice refers to breaches of APER 1, APER 4, FIT related to mis-selling, failing to be open and co-operative, lack of fitness/propriety, conflicts of interests, failing to act on information appropriately in the Asset Management sector.

  4. Final Notice 2018: Angela Burns [pdf]

    Final notices Published: 14/12/2018
    This final notice (Angela Burns) refers to breaches by a non-executive director of APER 1 for failing to declare conflicts of interest and FIT for lack of fitness/propriety. We imposed a fine and prohibition.

  5. Decision Notice 2021: BlueCrest Capital Management (UK) LLP [pdf]

    Decision notices Published: 22/12/2021
    This decision notice (BlueCrest Capital Management (UK) LLP) refers to breaches of Principle 8 related to conflicts of interest in the asset management sector. Our view is that a financial penalty should be imposed.

  6. Final Notice 2019: Stewart Owen Ford [pdf]

    Final notices Published: 16/01/2019
    This final notice (Stewart Owen Ford) refers to breaches by an executive director of APER 1, APER 4 and FIT related to mis-selling, failing to be open and co-operative, a lack of fitness/propriety, conflicts of interest, and failing to act on

  7. Final Notice 2022: GAM International Management Limited [pdf]

    Final notices Published: 30/03/2022
    The Final Notice refers to breaches of PRIN 2 and 8 related to the management of conflicts of interest in the asset management sector. We imposed a financial penalty.

  8. Principles of good regulation

    About us How we regulate Published: 21/04/2016 Last modified: 07/07/2016
    We must consider the principles of good regulation when carrying out our work. And regulated firms must adhere to the principles for businesses, which are their fundamental obligations as set out in our Handbook.

  9. TR14/19 Wealth management firms and private banks – Conflicts of interest: in-house investment products [pdf]

    Thematic reviews Published: 24/11/2014 Last modified: 24/11/2014

  10. Cryptoassets: AML / CTF regime - Registering with the FCA

    Published: 22/03/2023 Last modified: 01/07/2024
    You must register with us if you want to provide cryptoasset services that come within the scope of money laundering regulations. Find out if this applies to you and how to register.