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TR16/6: Principals and their appointed representatives in the general insurance sector (TR16/6)

Published: 22/07/2016     Last Modified: 22/07/2016

This report sets out the findings from our thematic review of principal firms and their appointed representatives in the general insurance sector. The review focused on principal firms’ understanding of their responsibilities for their appointed representatives and oversight of their activities.

TR16/5: UK equity market dark pools – Role, promotion and oversight in wholesale markets (TR16/5)

Published: 21/07/2016     Last Modified: 21/07/2016

We have surveyed the UK equity marketplace, focusing on dark pools and broker crossing networks, by examining promotional activity and the identification and management of conflicts of interest by dark pool operators.

TR16/4: Embedding the Mortgage Market Review: Responsible Lending Review (TR16/04)

Published: 16/05/2016     Last Modified: 16/05/2016

This review is the second of two market-wide thematic reviews examining the impact of the Mortgage Market Review (MMR). It forms part of our wider programme of mortgages work that also includes the proposals outlined in the feedback statement of the mortgages call for inputs which has been published alongside this report.

Inducements and conflicts of interest thematic review: key findings

Published: 18/04/2016     Last Modified: 18/04/2016

Inducements and conflicts of interest follow-up: key findings

TR16/3: Meeting investors’ expectations (TR16/03)

Published: 07/04/2016     Last Modified: 07/04/2016

We are reporting the findings of our thematic review that considered how firms ensure they manage funds and segregated mandates as they say they will. We also considered how firms monitor the appropriate distribution of their funds.

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