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Author: Simon Treacy

Under pressure: The increasing governance burden for UK asset managers

We are increasingly seeing asset managers’ governance structures come under challenge from FCA supervisors. In our experience, regulatory practice in this area is being established by the FCA communicating its expectations to individual firms rather than producing formal guidance or rules. 

In this note – Under pressure: The increasing governance burden for UK asset managers – we consider the current regulatory requirements, the changing supervisory expectations on conflicts management and board composition, and some important upcoming rule changes in this area.

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