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Showing 31 to 40 of 241 search results for identification and management of conflicts of interest.

31. Leadership and conduct

    Speeches Published: 31/03/2014 Last modified: 31/03/2014
    Speech by Martin Wheatley, Chief Executive, the FCA, at City Week 2014: International Financial Services in the Post-Reform World: Opportunities and Challenges. This is the text of the speech as drafted, which may differ from the delivered version.

32. FCA publishes Decision Notice against hedge fund for conflicts of interest failings

    Press Releases Published: 22/12/2021 Last modified: 22/12/2021
    We have published a Decision Notice and a financial penalty of £40.8m against BlueCrest Capital Management (UK) LLP

33. Primary Market Bulletin 37

    Newsletters Published: 09/12/2021 Last modified: 09/12/2021
    In this edition we cover the implementation of our postponed rules that require issuers to publish their annual financial reports. We explain the importance of adequate business continuity procedures and review sponsor requirements to identify and

34. LTAF valuation and pricing requirements

    Firms Published: 24/11/2022 Last modified: 24/11/2022
    This page is intended to help investors and potential investors understand how their units in a Long-Term Asset Fund are priced.

35. TR14/1 – Transition Management Review

    Thematic reviews Published: 10/02/2014 Last modified: 10/02/2014
    Complexity of TM – It can be a complex and fast-paced form of business and that complexity (including potential conflicts of interest) needs careful management. ... to ensure all potential conflicts of interest are understood, managed and mitigated.

36. Transparency in asset management

    News stories Published: 30/10/2013 Last modified: 15/08/2014
    Transparency in asset management. News stories First published:. 30/10/2013. Last updated: 15/08/2014. ... and a thematic review on conflicts of interest.

37. AIFMD

    Focus areas Published: 08/06/2016 Last modified: 06/02/2023
    The Alternative Investment Fund Managers Regulations (UK AIFMD) provide a regulatory framework for alternative investment fund managers (AIFMs). Find out about the requirements.

38. 2020 fines

    News stories Published: 21/01/2020 Last modified: 02/12/2022
    This page contains information about enforcement fines published during the calendar year ending 2020.

39. Transparency

    How we operate Published: 06/04/2016 Last modified: 20/12/2021
    The FCA sets out to be as open and accountable as possible, so it can be scrutinised by consumers, firms and Parliament. To do this the FCA publishes information about regulated firms and individuals, or it requires firms and individuals to do so.

40. Principles of good regulation

    About us How we regulate Published: 21/04/2016 Last modified: 20/07/2022
    The FCA considers the principles of good regulation when carrying out our work, and regulated firms must comply with our principles for businesses.