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Showing 21 to 30 of 135 search results for MiFID II product governance.
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TR15/2: Structured Products: Thematic Review of Product Development and Governance
Our recent work in the structured products market has focused on better understanding consumer behaviour and the way that firms approach product development and governance. -
Implementing Technology Change
This review sets out the findings from our cross-Financial Services change management review which looked at how financial firms manage technology change, the impact of change failures and the practices utilised within the industry to help reduce -
Investment managers still failing to ensure effective oversight of best execution
We outline findings from supervisory work looking at how investment managers deliver best execution for their clients. -
FCA calls on firms to act following review of costs and charges disclosure in the investment sector
The Financial Conduct Authority (FCA) has today published the key findings of supervisory work to assess the effectiveness of disclosure by asset managers and intermediaries, such as wealth managers, to their retail customers. This work was prompted -
How regulation can prepare the ground for economic growth
Speech by Sarah Pritchard, Executive Director, Markets at the City and Financial Global: The Future of UK Financial Services Regulation Summit. -
The FCA's response to COVID-19 and expectations for 2020
Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at PIMFA’s Virtual Festival. -
CFD firms fail to meet our expectations on appropriateness assessments
Findings from our review of appropriateness assessments for sales of contracts for difference (CFD) products, through a sample of 23 firms. -
Competition in the asset management industry: UK experiences, global implications
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Securities Industry and Financial Markets Association's (SIFMA) 2017 Annual Meeting. -
A strategy for positive change: our ESG priorities
The FCA's environmental, social and governance (ESG) strategy sets out our target outcomes and the actions we expect to take to deliver these, to support the transition to a net zero economy. -
PS17/27: Insurance Distribution Directive implementation – Feedback to CP17/23 and near-final rules
This is our second Policy Statement setting out near-final rules for the implementation of the Insurance Distribution Directive (IDD).