Search results
Showing 51 to 60 of 241 search results for identification and management of conflicts of interest.
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Enhancing market integrity
The FCA aims to support a healthy and successful financial system, where firms can thrive and consumers can place their trust in transparent and open markets. -
Dealing commission
Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA conference on dealing commission in London. This is the text of the speech as drafted, which may differ from the delivered version. -
FX remediation programme: our next steps
We launched a remediation programme in 2014 to ensure UK foreign exchange (FX) firms addressed the root causes of failings and to drive up standards across the market. Find out how firms should respond to our findings and our next steps. -
FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly
The conflicts of interest and risks inherent in the side-by-side management of funds require robust risk management systems and controls. ... The business failed to do so in relation to the inherent conflicts of interest and risks associated with the side -
The supervision of sponsors
Our supervision of sponsors is distinct from our supervision of authorised firms. We focus on ensuring sponsors fulfil their responsibilities under the listing regime. -
FCA fines LJ Financial Planning Ltd £107,200
Independent financial advice firm is fined for providing its customers with unsuitable pension switching and transfer advice and failing to manage its conflicts of interest. -
2019 fines
This page contains information about enforcement fines published during the calendar year ending 2019. -
Market Watch 74
n this Market Watch, we describe some of our recent supervisory observations, covering RTS 22 transaction reporting and the submission of financial instrument reference data under RTS 23. -
Business Plan 2023/24
The FCA's Business Plan details the work it will do over the next 12 months to help deliver the commitments in its Strategy. -
Transparency
The FCA sets out to be open and accountable, so we can be scrutinised by consumers, firms and Parliament.