“An easy, one stop, comprehensive reference library – by far the most accessible of its kind” UK Partner, Investment Management.
We track output from FCA weekly and keep a close eye on other relevant agencies. Regulatory changes can be buried in the volume and detail of compliance consultation, guidance, policy statements, even web-site updates, so we look at numerous press releases, speeches, notices and technical papers; but we only include an item in the REIT (yes, it’s a compliance pun) if there’s something an investment manager needs to do, or will need to do, to stay “In Compliance”.
Each REIT is an Excel workbook that can be filtered by month according to our 14 point compliance framework. That provides a concise, focused and action-based summary of recent regulatory news. We also provide a summary of the forward agenda for investment management compliance each month.
We don’t spam our content to all and sundry. So if you work for a FCA regulated firm, please complete the form on the right to register for our monthly regulatory updates.