Search results
Showing 231 to 240 of 241 search results for identification and management of conflicts of interest.
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A strategy for positive change: our ESG priorities
The FCA's environmental, social and governance (ESG) strategy sets out our target outcomes and the actions we expect to take to deliver these, to support the transition to a net zero economy. -
Effective compliance with the Market Abuse Regulation – a state of mind
their obligations to be both aware of and manage the conflicts of interest they may feel they manifest when potentially challenging business results should be disclosed. ... their cleanest when the footfall of the regulator on this particular beat is -
Improving the Appointed Representatives regime through greater use of data
This publication includes data from the FCA's 2021 and 2022 data requests sent to principal firms and authorisation information collected from firms. It also outlines how the FCA is improving the Appointed Representatives’ Regime (AR) regime and -
Authorised fund managers’ assessments of their funds’ value
This review sets out our findings from our review, where we looked at the processes used by different Authorised Fund Managers (AFMs) when they carry out assessments of value (AoVs or 'Value Assessments') for the funds they operate. -
IFPR implementation observations: quantifying threshold requirements and managing financial resources – concluding report
Further observations on how firms are implementing requirements on the Internal Capital Adequacy and Risk Assessment process and reporting under the Investment Firms Prudential Regime. -
Principal firms who have Credit Broking permissions: Good practice and areas for improvements
We assessed the key harms and drivers of harm caused by ARs and IARs who undertake credit broking. We found some examples of good and poor practice that we'd like to share with firms, as we think they can improve their practices. -
Proceeds of fraud - Detecting and preventing money mules
We share the key findings from our review of payment account providers’ systems and controls against money mule activity. -
Consumer Investments: Strategy and Feedback Statement
The FCA sets out its view of consumer harm in this market and its 3-year strategy to address this. -
Consumer Duty implementation: good practice and areas for improvement
What firms are doing well and what they could do better. -
Review of TCFD-aligned disclosures by premium listed commercial companies
Following the introduction of a climate-related disclosure rule as a first step to improving the quality and quantity of disclosures across the corporate sector, we outline our preliminary observations and reiterate our expectations.