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Showing 81 to 90 of 146 search results.

  1. TR15/1: Asset management firms and the risk of market abuse

    Thematic reviews Published: 18/02/2015 Last modified: 10/11/2023
    This paper presents our findings from the thematic review of how asset management firms control the risk of committing market abuse.

  2. A review of the regulatory regime for crowdfunding and the promotion of non-readily realisable securities by other media [pdf]

    Thematic reviews Published: 03/02/2015 Last modified: 03/08/2016

  3. TR14/21 Retail investment advice: Adviser charging and services [pdf]

    Thematic reviews Published: 16/12/2014 Last modified: 16/12/2014

  4. TR14/21: Retail investment advice: Adviser charging and services

    Thematic reviews Published: 16/12/2014 Last modified: 31/08/2016
    TR14/21: Retail investment advice: Adviser charging and services. Thematic reviews First published:. 16/12/2014. Last updated: 31/08/2016. TR14/21: Retail investment advice: Adviser charging and services. Following the introduction of the Retail

  5. TR14/20 Annuities sales practices [pdf]

    Thematic reviews Published: 11/12/2014 Last modified: 11/12/2014

  6. TR14/20: Annuities sales practice

    Thematic reviews Published: 11/12/2014 Last modified: 29/11/2021
    This paper presents the findings of our thematic review of the non-advised sales practices of pension providers offering annuities to their existing customers.

  7. TR14/19 Wealth management firms and private banks – Conflicts of interest: in-house investment products [pdf]

    Thematic reviews Published: 24/11/2014 Last modified: 24/11/2014

  8. TR14/19 – Wealth management firms and private banks – Conflicts of interest: in-house investment products

    Thematic reviews Published: 24/11/2014 Last modified: 07/02/2022
    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.

  9. TR14/18 Complaint handling [pdf]

    Thematic reviews Published: 17/11/2014 Last modified: 17/11/2014

  10. TR14/18 – Complaint handling

    Thematic reviews Published: 17/11/2014 Last modified: 10/11/2016
    TR14/18 – Complaint handling. Thematic reviews First published:. 17/11/2014. Last updated: 10/11/2016. TR14/18 – Complaint handling. We publish the findings from our thematic review of complaint handling. In this review we sought to identify