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Showing 41 to 50 of 241 search results for identification and management of conflicts of interest.

  1. 2022 fines

    News stories Published: 28/02/2022 Last modified: 04/01/2023
    Enforcement fines published in 2022.

  2. TR14/9 - Commercial insurance intermediaries - conflicts of interest and intermediary remuneration

    Thematic reviews Published: 27/05/2014 Last modified: 27/05/2014
    Our review looked at a sample of large intermediaries, considering how their business structures and the remuneration they receive could create conflicts of interest that work against the best interests of ... Many intermediaries relied on disclosure as

  3. 2014 fines

    News stories Published: 02/01/2014 Last modified: 31/08/2016
    This table contains information about fines published during the calendar year ended December 2014. The total amount of fines is £1,471,431,800.

  4. Regulated Covered Bonds Register

    Firms Published: 13/05/2016 Last modified: 23/06/2023
    The Regulated Covered Bonds Register is a public record of all regulated covered bond issuers and regulated covered bonds. See the list of issuers, their bonds and attestations.

  5. Inducements and conflicts of interest thematic review: key findings

    Thematic reviews Published: 18/04/2016 Last modified: 18/04/2016
    Inducements and conflicts of interest thematic review: key findings. Thematic reviews First published:. ... of interest and result in firms not acting in their customers’ best interests.

  6. Supervision of authorised funds

    Tasks for regulated firms Published: 11/05/2015 Last modified: 14/02/2023
    Information on how our supervision of UK authorised funds protects investors and maintains a competitive market environment.

  7. Shaping the future in asset management

    Speeches Published: 30/10/2013 Last modified: 30/10/2013
    Keynote speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Asset Management Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  8. Competing on integrity

    Speeches Published: 14/11/2013 Last modified: 30/09/2016
    Speech by Martin Wheatley, Chief Executive of the FCA, at the CFA European Investment Conference. This is the text of the speech as drafted, which may differ from the delivered version.

  9. FCA fines GAM International Management and former Investment Director Timothy Haywood

    Press Releases Published: 30/03/2022 Last modified: 30/03/2022
    The Financial Conduct Authority (FCA) has fined asset manager GAM International Management Limited (GIML) and Timothy Haywood, a former Investment Director and Business Unit Head at GIML.

  10. FCA calls on insurance intermediaries to better manage conflicts of interest when dealing with small business clients

    Press Releases Published: 27/05/2014 Last modified: 27/05/2014
    are remunerated create the potential for conflicts of interest that need to be actively managed. ... The thematic review into Commercial insurance intermediaries - Conflicts of interest and intermediary remuneration.