It will be no surprise to anyone holding a senior management function (SMF) role at a regulated firm that the FCA continues to issue new rules, change rules that already exist and provide guidance on how those rules should be interpreted. There is a lot to keep on top of, and sorting through what is relevant and what is not can be a real challenge.
In this digest, we highlight the recent publications that we think are most relevant to asset managers regulated in the UK, and identify what firms need to be changing, now, to stay compliant.
IQ-EQ has compliance consulting teams based in the U.S., UK, Hong Kong and Singapore as well as the Middle East, Continental Europe and Japan. For practical, pragmatic advice on any regulatory matters please get in touch.
Contact the team
Rachel Aldridge
Managing Director, Regulatory & Compliance Solutions, UK
United Kingdom
Send email + 44 203 696 1302
Andrew Shrimpton
Chair, UK Regulatory and Compliance Solutions, UK
United Kingdom
Send email +44 207 397 5469
