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Showing 611 to 620 of 697 search results for board effectiveness review.
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TR14/19 – Wealth management firms and private banks – Conflicts of interest: in-house investment products
Findings of our review of conflicts of interest arising from wealth management and private banking firms’ use of in-house investment products (IHPs) in retail discretionary and advisory investment portfolios. -
Firms continue to fail to meet our expectations on their use of dealing commission
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. -
The FCA’s long term review into AI and retail financial services: designing for the unknown
Speech by Sheldon Mills, at the FCA's Supercharged Sandbox Showcase event. -
Bank of England, PRA, FCA and PSR review Memorandum of Understanding in relation to payment systems in the UK
The Bank of England, the Prudential Regulation Authority (PRA), the Financial Conduct Authority (FCA) and the Payment Systems Regulator (PSR) have reviewed the Memorandum of Understanding (MoU) that sets out the high-level framework the Authorities -
CP26/21: Proposed changes to the UK Listing Rules for closed-ended investment funds
We're consulting on targeted changes to the UK Listing Rules for closed-ended investment funds to manage conflicts of interest and protect shareholders. -
Competition Policy in Financial Markets – the view from the regulators
Speech by Mary Starks, Director of Competition, FCA, delivered at the Centre for Competition Policy (CCP) Conference on 10 June in Norwich. -
Unlocking green growth: Why the UK is the smart bet for sustainable finance
Speech by Ashley Alder, FCA chair, at Climate Financial Risk Forum's Symposium, London. -
Consumer understanding: good practice and areas for improvement
Read the findings of the FCA's review into firms' approaches to consumer understanding. -
PS25/22: Supporting consumers’ pensions and investment decisions: rules for targeted support
Near-final rules on targeted support and simplified advice are aimed at improving access to financial advice. -
How to flex your organisation's power through culture and conduct
Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations at City & Financial's Culture and Conduct Forum.