Asset managers and authorisation

Find out how to become authorised as an asset manager.

The authorisation process

View a flowchart that explains the steps to becoming regulated (PDF)

About these pages

These web pages are part of our asset manager authorisation hub, which aims to remove unnecessary barriers to the regulatory journey of an asset manager while still maintaining our high regulatory standards, by:

  • improving access to the FCA and public information shared by us on our website and Handbook
  • building knowledge of firms by providing guides to our processes and systems, organising open days, roundtables and seminars on key regulatory topics
  • simplifying regulatory processes by streamlining existing processes and taking a more pragmatic approach
  • engaging with firms by committing more time towards pre-application meetings
  • helping firms transition from authorisation to supervision

Watch our video for an overview of the asset management authorisation hub.

News and events for asset managers

News

Asset Management Market Study (5 April 2018)

EU withdrawal (28 March 2018)

Outlining the FCA’s approach to authorisation (15 March 2018)

Algorithmic Trading Compliance in Wholesale Markets (12 February 2018)

Statement on communications in relation to PRIIPS (24 January 2018)

CP18/4: The European Money Market Funds (MMF) Regulation (24 January 2018)

Speech: Competition in the asset management industry (24 October 2017)

Events

We will be holding a dedicated event on Patient Capital in autumn 2018. To register your interest, please email [email protected]

Find out more about events for asset managers.

Further information

Find application forms Forms to complete
Where to submit applications FCA Connect
Where to submit regular returns Gabriel
Where to pay regular fees Annual fee options
Find the FCA rulebook FCA Handbook
Find UK Regulations HMT website
Access FCA publications FCA publications
Access EU publications EU publications
Access ESMA publications ESMA website
How to contact us FCA Contact Centre
Go to related content