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Investment Management Regulatory Update

Developments this quarter

Welcome to our Investment Management Regulatory Update which provides you with a summary of the latest regulatory developments affecting the UK investment management sector.

Current edition

Investment Management Regulatory Update – Q1 2014

Key developments this quarter include the publication of the FCA’S 2014 Business Plan and Risk Outlook, as well as on-going developments in relation to RDR, UCITS regulation and remuneration in the financial services industry.

Previous editions

Investment Management Regulatory Update – Q4 2013

Key developments this quarter include speeches setting out the FCA’s areas of focus for 2014 as well as their views on the future of the asset management industry. The update also considers on-going developments in relation to AIFMD and RDR.

Investment Management Regulatory Update, Q3 2013

Key developments this quarter include speeches setting out the FCA’s areas of focus for 2014 as well as their views on the future of the asset management industry. The update also considers on-going developments in relation to AIFMD and RDR.

Investment Management Regulatory Update, Q2 2013

Key developments this quarter included speeches setting out the FCA’s agenda, development in the UK’s implementation of the AIFMD and ESMA’s publication of guidelines on remuneration policies and practices for firms providing investment services. The Update also considers on-going European developments across MiFID, RDR and CRD.

Investment Management Regulatory Update, Q1 2013 

Key developments this quarter included the transition of the FSA into the FCA and PRA, consultations on the implementation of AIFMD, details of the Financial Transaction Tax tabled by the European Commission, and the European Parliament Econ committee vote on bonus caps for fund managers. The Update also considers consultations being undertaken by the FCA and ongoing developments across MiFID, RDR and CRD.

Investment Management Regulatory Update, Q4 2012

Key developments this quarter included the passing of the Financial Services Act 2012, the FSA’s issuance of Dear CEO letters to asset managers on conflicts of interest and outsourcing, the IOSCO final report covering policy recommendations for MMFs and the FSB’s consultation on strengthening the oversight of shadow banking. The Update also considers consultations being undertaken by the FSA and ongoing developments across AIFMD, MiFID, RDR and EMIR.

Investment Management Regulatory Update, Q3 2012

Key developments this quarter included proposals to ban the promotion of Unregulated Collective Investment Schemes to the majority of retail investors, the issuing of the ‘UCITS VI’ consultation by the European Commission and several developments in relation to client money and custody assets for firms that undertake investment business. The Update also considers ongoing developments across MiFID, RDR and the Short Selling Regulations.

Investment Management Regulatory Update, Q2 2012

The second quarter of 2012 saw key developments including the FSA’s feedback on Recovery and Resolution Plans and ESMA’s launch of EMIR. There were also updates in regards to COREP, MiFID and the RDR.

Investment Management Regulatory Update, Q1 2012

Highlights from the quarter included the publishing of the FSA’s Retail Conduct Risk Outlook, the US Treasury and the Internal Revenue Service release of proposed regulations on FATCA, and the EU Council’s adoption of SSR.

Investment Management Regulatory Update, Q4 2011

Key updates included proposed amendments to MiFID and the Market Abuse Directive, as well as further rules and consultation from the FSA in relation to the RDR.

 

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Investment Management

EMEA Centre for Regulatory Strategy

Key contacts

Nikki Lovejoy, Partner, Risk & Regulation

David Strachan, Co-Head Centre for Regulatory Strategy

Cindy Chan, Partner, Risk & Regulation

Stuart McLaren, Partner, Investment Management & Wealth

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