Asset management

Reports, news and data relating to the asset management sector.

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The Conduct of Business Sourcebook (COBS) has been amended by FCA PS14/7. These changes to COBS have been in effect since 2 June 2014. The FCA has published terms of reference for the Asset Management Market Study 2016. FCA Business Plan 2016/17 notes that conflicts of interest are still driving risk and FCA will work with firms to develop robust policies to manage this risk.

Latest Reports

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    On 15 October 2019, the Financial Conduct Authority (“FCA”) published consultation paper CP19/29: Recovery of costs of supervising cryptoasset businesses under the proposed anti-money laundering regulations: fee proposals (“CP19/29”).  

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    Anti-money laundering, terrorist financing, and know your client obligations FCA-authorised firms are required, pursuant to the Money Laundering, Terrorist Financing and Transfer of Funds (Information on Payer) Regulations 2017 (“MLRs”), to implement anti-money laundering (“AML”) measures.  

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    On 8 March, the FCA published the long-awaited final rules on the proposed new Financial Services Directory (the “FS Directory”). The introduction of the FS Directory is expected to be welcomed by firms and consumers alike. Following the FCA’s consultation during the summer/autumn of 2018, the emphatic industry view is ...

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    The Swiss Confederation (Switzerland) and the United Kingdom (UK) on 24 January 2019 signed the Agreement between the United Kingdom and the Swiss Confederation on direct insurance other than life assurance (UK-Swiss Direct Insurance Agreement). The new UK-Swiss Direct Insurance Agreement replicates the terms of the existing agreement between Switzer-land ...

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    Investment Funds is a highly specialist area, with a complex web of regulation and taxation, as well its own jargon, that can bewilder to those new to the industry. The CMS Funds Group’s ‘Introduction to Funds’ training programme is an ideal way of demystifying Investment Funds either for new joiners ...

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Future Dates

* Estimated date

  • *2020

    The date by which all references to CRA ratings in laws and regulations relating to banks are to be removed. This will be done by the Commission based on technical advice from ESMA. EIOPA will be responsible for implementation.