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Showing 71 to 80 of 241 search results for identification and management of conflicts of interest.

  1. FCA puts the spotlight on debt management firms

    Press Releases Published: 15/03/2019 Last modified: 15/03/2019
    The Financial Conduct Authority (FCA) has today published its second thematic review of the debt management sector, looking at commercial and not-for-profit firms that provide debt advice and administer debt management plans to help customers deal

  2. Proxy advisors

    Markets Published: 18/12/2019 Last modified: 17/04/2024
    Proxy advisors offer research, advice or recommendation services. Read more about the Proxy Advisors Regulations, joining our public list and reporting breaches.

  3. Alternative investment fund manager (AIFM) hosting

    Firms Published: 25/03/2024 Last modified: 25/03/2024
    Information for AIFMs using the host model to manage alternative investment funds (AIFs), known as AIFM hosting.

  4. Approved Persons Regime

    Tasks for firms Published: 12/05/2015 Last modified: 27/04/2023
    Approved persons carry out certain activities on a firm's behalf and must be regulated by us. Learn about our requirements, conduct rules and 'fit and proper' test.

  5. TR: Staff remuneration and incentives

    Thematic reviews Published: 12/08/2015 Last modified: 04/07/2017
    This review looked at how consumer credit firms pay and incentivise their staff and manage the risks arising from these reward arrangements.

  6. Skilled person reviews

    About us How we regulate Published: 20/04/2016 Last modified: 27/05/2022
    Find out about skilled person reviews.

  7. Review of principal firms in the investment management sector

    Multi-firm reviews Published: 20/05/2019 Last modified: 20/05/2019
    We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are.

  8. Early arrears management in unsecured lending: TR16/10

    Thematic reviews Published: 13/12/2016 Last modified: 13/12/2016
    This report provides the findings from our thematic review into early arrears management in unsecured lending. The review looked at the way lenders treated customers in the early stages of arrears.

  9. FCA fines and restricts W H Ireland Limited for market abuse risks

    Press Releases Published: 23/02/2016 Last modified: 23/02/2016
    inadequate personal account dealing rules for employees. failures to maintain an effective written conflicts of interest policy, and inadequate recording of the kinds of service or activity carried out by WHI ... In addition to the breach of Principle 3,

  10. Conduct risk in FX markets

    Speeches Published: 30/11/2016 Last modified: 30/11/2016
    Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe.