Asset Management

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• FCA anti-money laundering spot checks on hedge funds

  Blog Post

  Submitted: 20 March 2019

  It has been reported that the FCA are to conduct anti-money laundering spot checks on certain hedge fund managers in London in late March or early April 2019.

• FCA raises concerns about asset managers’ disclosure of costs and charges

  Blog Post

  Submitted: 08 March 2019

  The FCA has warned that firms should review their costs and charges disclosures as a matter of priority, and expects to see improvements in the coming weeks and months.

• An update on closet tracking

  Blog Post

  Submitted: 27 December 2018

  Regulators across Europe continue to take action over closet trackers and scrutiny looks set to intensify in 2019.

• “Super-equivalence”: the Government’s proposed new approach to financial services after Brexit

  Blog Post

  Submitted: 16 July 2018

  A summary of the Government's proposed approach to financial services after Brexit.

• Call for Ban on High Charging Funds

  Blog Post

  Submitted: 12 July 2018

  Chief Executive of leading think tank calls for increased ESMA intervention.

• The significance for asset managers of the Supreme Court’s decision that No Oral Modification clauses are valid and binding

  Blog Post

  Submitted: 27 June 2018

  Terms requiring contractual variations to be made in writing will be enforceable between counterparties.

• Automated investment services

  Blog Post

  Submitted: 23 May 2018

  The Financial Conduct Authority (FCA) finds automated investment service providers to be deficient in conducting service disclosures, fee disclosures and suitability assessments in a warning to firms that those engaged in automated investment services must be mindful of the requirements of Conduct of Business Sourcebook (COBS).

• Asset Management Market Study: a change of approach from the FCA to the assessment of "value for money"

  Blog Post

  Submitted: 05 April 2018

  This blog post highlights the FCA’s welcome move towards a more holistic approach to the assessment of the service and value provided by fund managers to investors.

• Closet trackers - preparatory steps as publicity increases

  Blog Post

  Submitted: 16 March 2018

  Closet tracking is generating increasing publicity largely driven by a claims industry looking for opportunities as the PPI revenue stream dwindles.

• Closet trackers - £34m compensation paid to investors

  Blog Post

  Submitted: 05 March 2018

  FCA confirms that £34m compensation has been paid to investors in closet tracking funds ahead of publication of its policy statement on the first set of remedies coming out of the Final Report later this month

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