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Showing 211 to 220 of 241 search results for identification and management of conflicts of interest.

  1. The retrospective application of rules: feedback on the call for examples

    News stories Published: 22/01/2015 Last modified: 19/11/2021
    We asked firms to provide examples of the retrospective application of regulatory rules

  2. Cyber and technology resilience in UK financial services

    Speeches Published: 27/11/2018 Last modified: 14/01/2019
    Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at Bloomberg, London.

  3. Consumers struggling to understand structured products as Financial Conduct Authority calls for improvements from firms

    Press Releases Published: 05/03/2015 Last modified: 25/11/2021
    A behavioural economics research paper published today by the Financial Conduct Authority (FCA) has found that many consumers overestimate the expected returns on structured deposits.

  4. Primary Market Bulletin 33

    Newsletters Published: 29/03/2021 Last modified: 22/04/2021
    Welcome to the 33rd edition of the Primary Market Bulletin (PMB).

  5. FSA publishes its Internal Audit Report on: review of the extent of awareness within the FSA of inappropriate LIBOR submissions

    Press Releases Published: 05/03/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has published its Internal Audit Report (the Report) on the London Interbank Offered Rate (LIBOR).

  6. FCA orders WealthTek Limited Liability Partnership to cease operations as High Court appoints Joint Special Administrators and arrest made

    News stories Published: 05/04/2023 Last modified: 14/09/2023
    BDO LLP to take interim control of WealthTek Limited Liability Partnership.

  7. Key findings on our recent work on pension transfer advice

    Multi-firm reviews Published: 06/12/2018 Last modified: 06/12/2018
    Pension transfers have been a priority for us throughout 2018. Our work has focussed in particular on those firms most active in the market. We have also looked more closely into some firms based on intelligence (for example whistleblowing) we

  8. Financial watchdog bans referral fees for debt packagers to help struggling consumers

    Press Releases Published: 02/06/2023 Last modified: 02/06/2023
    The FCA is banning certain providers of debt advice from receiving referral fees from debt solution providers.

  9. Automated advice: existing rules and guidance

    Firms Published: 27/03/2022 Last modified: 10/02/2023
    Before applying for Innovation Pathways, read our existing rules and guidance to check whether your question is covered.

  10. FCA publishes the interim report of its investment and corporate banking market study and a discussion paper on the IPO process

    Press Releases Published: 13/04/2016 Last modified: 13/04/2016
    As a result, the FCA will undertake supervisory work with a targeted group of banks to better understand how potential conflicts of interests are managed when shares in IPOs are allocated. ... In addition, analysts unconnected with the IPO generally lack