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Showing 91 to 100 of 241 search results for identification and management of conflicts of interest.

  1. Getting the right investor outcomes

    Speeches Published: 24/09/2014 Last modified: 30/09/2014
    Speech by William Amos, Director of Wholesale Banking and Investment Management at the Investment Week Fund Management Summit, London. This is the text of the speech as drafted, which may differ from the delivered version.

  2. Regulatory hosting services

    Firm authorisation Published: 11/07/2023 Last modified: 09/05/2024
    Read information for principal firms operating as regulatory hosts.

  3. FCA Board

    Who we are About us Published: 02/04/2016 Last modified: 06/06/2024
    The FCA Board holds us accountable for the way we work. Find out more about its role and meet its members.

  4. Heads of compliance and MLROs

    Firms Published: 28/01/2022 Last modified: 08/12/2022
    Make sure you understand our expectations if your firm is applying to us to approve individuals to these positions.

  5. CP15/28: Quarterly Consultation Paper No. 10

    Consultation papers Published: 04/09/2015 Last modified: 13/01/2017
    CP15/28: Quarterly Consultation Paper No. 10 [PDF]. This will be relevant if you or your firm has any interest in the subjects mentioned above. ... offshore insurer some of the same protections as consumers receiving advice or a discretionary management

  6. FCA publishes terms of reference for asset management market study

    Press Releases Published: 18/11/2015 Last modified: 18/11/2015
    FCA publishes terms of reference for asset management market study. Press Releases First published:. ... the role of investment consultants and potential conflicts of interest arising from the provision of advice and asset management services.

  7. November 2014: Internal Audit report: The identification, handling and management of market sensitive information [pdf]

    Corporate documents Published: 08/02/2016 Last modified: 08/02/2016
    This document was submitted to the Treasury Committee on 01 December 2015 and published by them today. This document is a redacted version of an Internal Audit Report submitted to the Audit Committee of the FCA Board. At the request of the Treasury

  8. Asset management: A regulatory perspective

    Speeches Published: 26/04/2018 Last modified: 26/04/2018
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at London Business School Annual Asset Management Conference.

  9. FCA bans Angela Burns from acting as a non-executive director and fines her for her failure to declare conflicts of interest

    Press Releases Published: 14/12/2018 Last modified: 14/12/2018
    The Financial Conduct authority (FCA) has banned Angela Burns from acting as a non-executive director (NED) and fined her £20,000 for failing to act with integrity at two mutual societies.

  10. FG15/10 - Risks to customers from performance management at firms

    Finalised guidance Published: 27/07/2015 Last modified: 19/07/2016
    In March 2015 we consulted on proposed guidance to help firms mitigate the risks that are posed to consumers by inappropriate performance management practices in firms.