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Showing 61 to 70 of 241 search results for identification and management of conflicts of interest.
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Competition and Asset Management Conference overview
Last week the FCA and Said Business School jointly hosted a two-day conference to explore a range of questions that are of interest to regulators, academics and practitioners. -
2016 fines
This table contains information about fines published during the calendar year ending 2016. The total amount of fines is £22,216,446 (excluding Mr Shay Jacob Reches' additional penalty). -
FCA finds firms still failing to fully manage benchmark risks
continue to strengthen governance and oversight of benchmark activity;. continue to identify and manage conflicts of interest;. ... The administrators and submitters to eight benchmarks are now subject to FCA’s standards of governance, controls, -
CP13/17: Use of dealing commission
We are consulting on proposed changes to our use of dealing commission rules in our Conduct of Business Sourcebook (COBS). -
Competition and investment banking
We also provide a number of specific examples, covering a range of potential issues, including barriers to entry or expansion, information asymmetries, conflicts of interest, and the cross-selling or bundling ... And, perhaps of most relevance to the -
The Financial Conduct Authority publishes its findings on transition management
Over £165 billion of assets invested in pensions and other large funds are transferred between investment managers, markets and products every year – potentially affecting the returns enjoyed by millions of consumers on their investments – by -
DP14/3 The use of dealing commission regime
We have carried out a review on whether further changes are needed to deliver a more transparent and efficient asset management sector for end investors. -
Our supervision overview
Speech by Clive Adamson, director of supervision, at the General Insurance conference, London. -
TR19/1: Debt management sector thematic review
This report shares the key findings of our thematic review of the debt management sector.We committed in our 2017/18 Business Plan to assess how the market is operating and whether firms are meeting customer needs and our standards. -
Balance of interests
Speech by Martin Wheatley, Chief Executive, the FCA, at the International Derivatives Expo, London. This is the text of the speech as drafted, which may differ from the delivered version.