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Investment managers
In this section
Tasks for regulated firms
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Authorised and recognised funds
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National private placement regime
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Approved persons
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Senior Managers and Certification Regime
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Change in control
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Appointed representatives and principals
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Passporting
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Variation of permission
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Waivers and modifications
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Capital requirements permissions
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Fees and levies
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Regulatory reporting
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Change of legal status
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Standing data
Your business
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Client money and assets
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Financial crime
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Money laundering and terrorist financing
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Whistleblowing
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Training and competence
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Recruiting, training and supervising staff
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Financial incentives
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Remuneration
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External audit requirements
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Compliance and other support
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Reviewing your resources
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Professional indemnity insurance
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Recording telephone calls
Your customers
In focus
Meeting investors’ expectations
We report the findings of our thematic review that considered how firms ensure they manage funds and segregated mandates as they say they will. We also considered how firms monitor the appropriate distribution of their funds.
EBA data collection from investment firms
The EBA has issued a data request to support their response to the European Commission's Call for Advice on a new prudential framework for investment firms.
Investment firms that are, or expect to be, prudentially regulated by us as a result of MiFID should email their completed templates to InvestmentFirmEBADataCollection@fca.org.uk by 7 October 2016.
See the EBA's website for full details and templates.
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