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Showing 1 to 10 of 47 search results for asset management market study.

  1. Unit-linked funds’ governance review (follow up to PS18/8): findings and next steps

    Multi-firm reviews Published: 24/09/2019 Last modified: 24/09/2019
    We reviewed firms’ governance practices covering the value provided by unit-linked funds. This is part of wider work in this area, including a review of non-workplace pensions, the governance of unit-linked mirror funds, and the effectiveness and scope of Independent Governance Committees (IGCs). We are considering whether we need to change our...
  2. Implementing MiFID II – multi-firm review of research unbundling reforms

    Multi-firm reviews Published: 19/09/2019 Last modified: 19/09/2019
    Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately. These are the findings of our review on how firms have implemented these rules since their introduction in January 2018.
  3. Anti-competitive conduct in the asset management sector: FCA Decisions under the Competition Act 1998

    Decisions and notices Notices and decisions Published: 22/05/2019 Last modified: 22/05/2019
    On 21 February 2019, the FCA decided that 3 asset management firms, Hargreave Hale Ltd, Newton Investment Management Limited and River and Mercantile Asset Management LLP (RAMAM), breached competition law. They shared strategic information during a placing and an initial public offering in 2015. We fined Hargreave Hale £306,300 and RAMAM...
  4. Review on disclosure of costs by asset managers

    Multi-firm reviews Published: 28/02/2019 Last modified: 28/02/2019
    We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are.
  5. Letter to CMA regarding CMA Market Investigation: Investment Consultancy and Fiduciary Management Services [pdf]

    Correspondence Published: 26/02/2019
    On 21 February 2019, Christopher Woolard wrote to John Wotton from the Competition and Markets Authority to explain how we will respond to the recommendations in the CMA's report on investment consultancy and fiduciary management services. This follows the market investigation reference we made in 2017 as part of our Asset Management Market Study.
  6. PS19/4: Asset Management Market Study - feedback to CP18/9 and final rules and guidance

    Policy statements Published: 04/02/2019 Last modified: 04/02/2019
    The FCA is consulting on rules and guidance to improve the quality, comparability and robustness of information available to investors. The consultation closes on 5 July 2018.
  7. PS19/4: Asset Management Market Study - further remedies [pdf]

    Policy statements Published: 04/02/2019
  8. MS17/1: Investment platforms market study

    Market studies Published: 16/07/2018 Last modified: 13/12/2019
    Following the publication of the Investment Platforms Market Study Final Report and Consultation Paper 19/12 proposing new rules in March this year, the FCA have published Policy Statement 19/29 setting out final rules.
  9. PS19/1: Retirement Outcomes Review: feedback on CP18/17 and our final rules and guidance

    Policy statements Published: 28/06/2018 Last modified: 20/03/2019
    This Policy Statement outlines the new rules and guidance on our first package of remedies from the Retirement Outcomes Review (ROR) following our Consultation Paper CP18/17 (summary).
  10. Overview of Asset Management Market Study remedies [pdf]

    Documents Published: 05/04/2018