Bookmark
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
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Contracts for difference
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
Contracts for difference
Find out about our expectations of providers and brokers of retail contract for difference products, which include spread betting and rolling spot foreign exchange.
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 review of the prudential framework for MiFID investment firms
On 17 January, we hosted an event to talk through the recent EBA discussion paper and explain the thinking behind the proposals and give firms the opportunity to ask questions.
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