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Showing 221 to 230 of 241 search results for identification and management of conflicts of interest.

  1. The FCA has today published Decision Notices in respect of three former members of Keydata’s senior management: Stewart Ford, Mark Owen and Peter Johnson

    Press Releases Published: 26/05/2015 Last modified: 02/06/2015
    The FCA has today published Decision Notices in respect of three former members of Keydata’s senior management: Stewart Ford, Mark Owen and Peter Johnson. ... In the FCA’s opinion, Mr Owen’s commissions were not properly disclosed, nor was Mr

  2. FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme

    Press Releases Published: 12/11/2014 Last modified: 04/11/2019
    The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358

  3. Information on enforcement investigations into Senior Managers - May 2022

    FOI Release Date of Release: 26/05/2022
    The FCA responds to multiple questions on enforcement investigations into Senior Managers.

  4. FSA publishes guidance to help firms avoid poorly managed incentive schemes that drive mis-selling

    Press Releases Published: 16/01/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has published final guidance that will help financial firms avoid creating and operating incentives schemes that drive mis-selling.

  5. A more effective approach to combatting financial crime

    Speeches Published: 21/09/2016 Last modified: 29/09/2016
    Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the BBA Financial Crime and Sanctions Conference.

  6. Chief Executive speaks at APM about recent work and future challenges

    Speeches Published: 20/07/2016 Last modified: 20/07/2016
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting.

  7. Authorised fund managers’ assessments of fund value 2023

    Multi-firm reviews Published: 10/08/2023 Last modified: 10/08/2023
    Feedback following the second MFR of Authorised Fund Managers compliance with our Assessment of Value rules.

  8. Transforming to a forward-looking, proactive regulator

    Speeches Published: 15/07/2021 Last modified: 15/07/2021
    Speech by our CEO, Nikhil Rathi, delivered at the FCA’s Our Role and Business Plan webinar.

  9. Our Perimeter Report

    Annual reports Published: 20/07/2022 Last modified: 05/04/2024
    Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products

  10. Comparison of banking providers’ fraud controls

    Data Published: 09/03/2020 Last modified: 07/08/2020
    This page contains information about banks’ fraud controls. It is intended to enable consumers and consumer groups to compare how banks protect their customers against fraud, and to help consumers to make better informed choices about their