Publications
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Showing 81 to 90 of 148 search results.
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Standards for the provision of pensions guidance by designated guidance providers: cost benefit analysis [pdf]
In this cost benefit analysis we assess the costs and benefits arising from Policy Statement 14/17 Retirement Reforms and the guidance Guarantee, including feedback on CP14/11. -
TR15/1: Asset management firms and the risk of market abuse [pdf]
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TR15/1: Asset management firms and the risk of market abuse
This paper presents our findings from the thematic review of how asset management firms control the risk of committing market abuse. -
A review of the regulatory regime for crowdfunding and the promotion of non-readily realisable securities by other media [pdf]
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TR14/21 Retail investment advice: Adviser charging and services [pdf]
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TR14/21: Retail investment advice: Adviser charging and services
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 -
TR14/20 Annuities sales practices [pdf]
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TR14/20: Annuities sales practice
This paper presents the findings of our thematic review of the non-advised sales practices of pension providers offering annuities to their existing customers. -
TR14/19 Wealth management firms and private banks – Conflicts of interest: in-house investment products [pdf]
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TR14/19 – Wealth management firms and private banks – Conflicts of interest: in-house investment products
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.