Conflicts of Interest – Complyport UK Consultancy Service

FCA retires Finalised Guidance 12/15 and 14/1 on describing advice services and inducements

Of relevance to: All firms providing advice on or distributing retail investment products and financial instruments to retail clients Key date: With immediate effect Two Finalised Guidance publications (FG12/15: Retail Distribution Review: independent and restricted advice and FG14/1: Supervising retail investment advice: inducements and conflicts of interest) and a factsheet [...]

Transparent Asset Managers

In a recent speech to asset managers, Martin Wheatley Chief Executive of the FCA, returned to the topics of dealing commission and corporate access (Regulatory Roundup 47 had an article on corporate access and also provided a link to ‘conflicts between asset managers and customers’). He also talked of a [...]

Corporate Access

There have been a few press articles recently on ‘corporate access’ and the possibility of the FSA taking action against asset managers that use clients’ money to pay for such access. The subject also features in the FCA Business Plan – see earlier article. As mentioned in Regulatory Roundup 46 [...]

Asset Managers: An Important Message

Between June 2011 and February 2012 the FSA conducted thematic reviews of asset management firms on the subject of managing conflicts of interest. The Regulator identified many failings, which may result in enforcement actions against some firms, and has felt compelled to communicate the findings to a wider audience. The [...]

Tag: Conflicts of Interest

FCA retires Finalised Guidance 12/15 and 14/1 on describing advice services and inducements

Transparent Asset Managers

Corporate Access

Asset Managers: An Important Message

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