Bookmark
Investment managers
In this section
Tasks for regulated firms
-
Authorised and recognised funds
-
National Private Placement Regime
-
Approved persons
-
Senior Managers and Certification Regime
-
Change in control
-
Appointed representatives and principals
-
Passporting
-
Variation of permission
-
Waivers and modifications
-
Capital requirements permissions
-
Fees and levies
-
Regulatory reporting
-
Change of legal status
-
Firm details - change and attest
-
Contracts for difference
Your business
-
Client money and assets
-
Financial crime
-
Money laundering and terrorist financing
-
Whistleblowing
-
Training and competence
-
Recruiting, training and supervising staff
-
Financial incentives
-
Remuneration
-
External audit requirements
-
Compliance and other support
-
Reviewing your resources
-
Professional indemnity insurance
-
Recording telephone calls
-
Culture and governance
Your customers
Latest news
Published:
Published:
Published:
Published:
Published:
In focus
Asset management firms: prepare now for the end of LIBOR
UK authorities have been clear that the intention is that LIBOR will cease to exist after end-2021
Asset management firms: prepare now for the end of LIBOR
Transition from LIBOR
We’ve announced when the LIBOR panels will cease. Firms must make sure they’re ready.
Transition from LIBOR
Investment management data – Annual Report 2019/20
In our 2019/20 Business Plan, we made a commitment to provide a range of metrics to assess the impact of actions put in place since our Asset Management Market Study in 2016
Investment management data – Annual Report 2019/20
Options for reporting income for FSCS levy calculations
Clarification for investment managers on how to report income
Options for reporting income for FSCS levy calculations