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A&O Shearman

UK Conduct Regulator Wants Asset Management Sector to Reflect on Risks to Customers and Markets

A&O Shearman on

The U.K. Financial Conduct Authority has published two letters addressed to the CEOs of firms in the asset management and funds sectors. The first letter is addressed to CEOs of FCA-authorized firms directly managing...more

Proskauer Rose LLP

UK Financial Conduct Authority Identifies Significant Shortcomings in Firms Operating Appointed Representative Platforms

Proskauer Rose LLP on

On 20 May 2019, the UK Financial Conduct Authority ("FCA") published its findings of its multi-firm review into the supervision by principal firms of their appointed representatives ("ARs") operating in the investment...more

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