Asset management - Complyport UK Consultancy Service

FCA releases near final rules on SM&CR for FCA regulated firms.

On 4 July 2018, the Financial Conduct Authority (“FCA”) released ‘The Senior Managers and Certification Regime: Guide for FCA solo-regulated firms’ on the extension of the Senior Managers and Certification Regime (“SM&CR”) to the all FCA solo-regulated firms authorised under FSMA, as well as EEA and third country branches. Additionally, [...]

FCA Asset Management Conference – Insights

On 12 June, London’s Queen Elizabeth II Centre was home to the FCA Asset Management Conference 2018. The conference began with a keynote speech by Andrew Bailey, the Chief Executive of the Financial Conduct Authority (“FCA”), in which, among setting the regulatory agenda for the coming year for asset managers, [...]

FCA Asset Management Market Study: Interim Report

Of relevance to: The asset management sector In November 2015 the FCA published its terms of reference in relation to the intention to undertake a market study into asset management – see Regulatory Roundup 70 “Asset Management: Under the Microscope”. The intention to conduct such a market study was set [...]

Tag: Asset management

FCA releases near final rules on SM&CR for FCA regulated firms.

FCA Asset Management Conference – Insights

FCA Asset Management Market Study: Interim Report

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