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Showing 121 to 124 of 124 search results.

  1. Firms continue to fail to meet our expectations on their use of dealing commission

    Multi-firm reviews

    Published: 03/03/2017

    Last modified: 29/08/2025

    We summarise our findings from a review that analysed dealing commission expenditure across 31 investment managers (covering asset managers, wealth managers and host-authorised corporate director providers) between 2012 and 2015.

  2. Safe custody services firm review findings

    Multi-firm reviews

    Published: 10/08/2016

    Last modified: 29/08/2025

    Findings from a series of visits in 2010 to the known providers of safe custody services in the UK.

  3. We welcome action taken by a number of pension providers to review and strengthen their competition compliance

    Multi-firm reviews

    Published: 11/03/2016

    Last modified: 25/09/2025

    As part of the retirement income market study we reviewed a number of distribution arrangements and strategies of different pension providers.

  4. Improper delegation of authorised activities - a notice for financial adviser firms and their advisers

    Multi-firm reviews

    Published: 30/11/2015

    Last modified: 29/08/2025

    Firms that are approached to delegate their regulated activities, such as providing pension switching advice, to an unauthorised third party need to be aware of the serious implications that may arise as a result of entering into this type of
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