WebSYSC 10.1A.8 UK 01/01/2024. 7 (2) Insurance intermediaries and insurance undertakings shall keep and regularly update a record of the situations in which a conflict of interest entailing a risk of damage to the interests of a customer has arisen or, in the case of an ongoing service or activity may arise. WebSep 8, 2024 · The FCA's letter also highlights poor management of conflicts of interest, in breach of Principle 8 of the FCA's Principles for Businesses, as a significant concern which "can encourage market manipulation or improper fund performance reporting, in turn producing poor consumer outcomes and loss of market integrity."
Conflict of Interest Explained: Types and Examples - Investopedia
WebApr 18, 2016 · We are publishing our key findings from the 2015 thematic review about benefits provided and received by firms conducting MiFID business, and those carrying out regulated activities in relation to a retail investment product. In January 2014 we issued Finalised Guidance 14/1: Supervising retail investment advice: inducements and … WebApr 14, 2024 · Content Options Content Options. R Rules . G Guidance login leasys
Employee Handbook - Financial Conduct Authority FCA
WebA “conflict of interest” is a situation in which financial or other personal considerations may compromise, or have the appearance of compromising, judgment in following the rules of … WebConflicts of interest is a big FCA Hotspot. How do you deal with yours? #fca #uk #cofi. 13 Apr 2024 15:10:10 WebMar 30, 2024 · The Financial Conduct Authority has fined asset manager Gam International Management £9.1mn for failing to manage conflicts of interest arising from transactions linked to Greensill Capital. The ... indy raleigh nc