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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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Firm details - change and attest
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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
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Culture and governance
Your customers
Latest news
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
LIBOR transition: getting my firm ready
We explain what firms need to know about LIBOR transition
LIBOR transition: getting my firm ready
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