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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 […] [...]

Regulatory References

In its current format the FCA Handbook (SUP 10A.15) addresses a firm’s obligation to provide “all relevant information” regarding an ex (or soon to be ex) employee when requested by […] [...]

FCA Strategy Review Re-reviewed

Currently firms are supervised in accordance with their conduct categorisation which ranges from C1 to C4 with the latter firms being subject to a much lighter regulatory touch (firms will […] [...]

HM Treasury AML and CTF Report 2013 to 14

With ‘financial crime’ having joined the FCA’s top seven risks – see the article on the FCA Business Plan in this Regulatory Roundup – the publication by HM Treasury of […] [...]

FCA Restructure and Supervisory Model

The FCA’s Business Plan for 2015/16 – see previous article in this Regulatory Roundup – advises us that to help embed its new strategy the FCA has made some changes […] [...]

Allocation, Allocation, Allocation

Aviva Investors Global Services Ltd has been fined £17,607,000 for what the Final Notice describes as systems and controls failings which led to its failure to manage conflicts of interest […] [...]

Compliance Officer Prohibition

The publication of three Final Notices reminds us that the FCA may not simply restrict its actions to authorised firms (in this case Financial Ltd and Investments Ltd) but can […] [...]

Financial Promotions – Social Media

The use by firms of ‘social media’ e.g. Facebook, Twitter etc. has come under the FCA microscope with the publication of Finalised Guidance FG15/4 (“Social media and customer communications“). From […] [...]

FCA Strategy Review

With the regulation of consumer credit having come under the wing of the FCA last April, the number of firms that the FCA is responsible for has trebled over the […] [...]

FCA: Enforcement and Supervision

No sooner had the FCA issued its policy statement on Enhanced Supervision (‘Tackling serious failings in firms‘ – see previous article in this Regulatory Roundup) than the Regulator published its […] [...]

FCA: Enhanced Supervision

The FCA has published a policy statement (‘Tackling serious failings in firms’) on how it will address serious failings of standards, governance and culture in firms. Although reference is made […] [...]

Supervision of C4 Firms

When the FCA took over from the FSA, it introduced a new approach to supervision, albeit that for many small firms it may have been difficult to spot any practical […] [...]

Outsourcing Working Group

Regulatory Roundup 51 contained an article on the FCA’s recent thematic report on outsourcing in the asset management industry. Two key findings were inadequate oversight and inadequate contingency plans to […] [...]

Transparent Asset Managers

In a recent speech to asset managers, Martin Wheatley Chief Executive of the FCA, returned to the topics of dealing commission and corporate access (Regulatory Roundup 47 had an article […] [...]

Outsourcing & Asset Management

The FCA has published “Outsourcing in the Asset Management Industry: Thematic Project Findings Report” (TR13/10) which is based upon a sample of 17 asset managers (including 3 hedge fund managers). […] [...]

FCA Supervision Approach

At an APCIMS conference Clive Adamson, FCA Director of Supervision, outlined the FCA supervision approach. Although the emphasis was upon the Wealth Management and Private Banking sector, firms as a […] [...]

Quarterly Consultation (CP10/10)

The FSA has released a 122 page bumper edition of the latest Quarterly Consultation (CP10/10). Proposed changes in SUP include a rewording to SUP 10 Annex1 (FAQs) so removing the […] [...]

Tag: Supervision

FCA Asset Management Conference – Insights

Regulatory References

FCA Strategy Review Re-reviewed

HM Treasury AML and CTF Report 2013 to 14

FCA Restructure and Supervisory Model

Allocation, Allocation, Allocation

Compliance Officer Prohibition

Financial Promotions – Social Media

FCA Strategy Review

FCA: Enforcement and Supervision

FCA: Enhanced Supervision

Supervision of C4 Firms

Outsourcing Working Group

Transparent Asset Managers

Outsourcing & Asset Management

FCA Supervision Approach

Quarterly Consultation (CP10/10)

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