Publications
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Showing 81 to 90 of 124 search results.
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Asset management portfolio tools
This report sets out our review findings of how firms in the asset management sector selected and used risk modelling and other portfolio management tools. -
Unit-linked funds’ governance review (follow up to PS18/8): findings and next steps
We reviewed firms’ governance practices covering the value provided by unit-linked funds. -
Implementing MiFID II – multi-firm review of research unbundling reforms
Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately. -
Senior Managers and Certification Regime Banking Stocktake Report
The findings of our review into the embedding of the Senior Managers and Certification Regime (SM&CR) in the banking sector. -
Retail Banking: Business Continuity Planning
We have recently reviewed business continuity planning amongst a number of small and medium-sized retail banks, payments institutions and electronic money institutions. -
Safeguarding arrangements of non-bank payment service providers
The FCA carried out a multi-firm review with 11 non-bank payment service providers (PSPs) to assess how well they meet the requirements for safeguarding service users’ funds in PSRs and EMRs. -
Defined benefit pension transfers – market-wide data results
Collected data from firms on the size and value of the Defined Benefit (DB) pension advice market. -
Review of principal firms in the investment management sector
We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are. -
Payment for Order Flow (PFOF) [pdf]
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Payment for order flow multi-firm review findings
This final report on our recent supervisory work on conflicts of interest and payment for order flow (PFOF) follows the preliminary findings published in Market Watch 56 in September 2018.