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The Bank Incentive Structures review report was signalled in the Financial Market Authority’s (FMA) Annual Corporate Plan 2017/18, and aligns with our strategic priorities of Sales and advice, Conflicted conduct, and Governance and culture.
Our latest review on conflicted conduct in the insurance industry focuses on how QFEs mitigate risks through their operational policies and procedures when selling replacement policies. Our previous work focuses on RFAa and AFAs.
This monitoring report summarises the findings from our thematic review to determine the extent of improvements in the presentation of financial statements in a clear, concise and effective way, and sets out some suggestions for additional improvement.
During our investigation into Mark Warminger, we saw trading activity by Goldman Sachs that gave cause for concern and warranted further investigation. This activity may have presented a false or misleading appearance of the price and supply of securities, which is why it came to our attention. Read more.