United Kingdom: Financial Sector Assessment Program-Fund Management and Equity Trading Platforms: Regulation, Supervision, and Systemic Risk Monitoring-Technical Note

International Monetary Fund

No 2016/161, IMF Staff Country Reports from International Monetary Fund

Abstract: This paper reviews the effectiveness of the regulation, supervision, and systemic risk monitoring of investment funds and their managers. The United Kingdom has the largest fund management market in Europe and a key role as the host for some of the most important European equity trading platforms. A significant proportion of the regulatory framework in this area, in particular that related to conduct of business and disclosure requirements, has been harmonized at the EU level and is largely in line with the relevant international standards. The Financial Conduct Authority has the primary responsibility for the regulation and supervision of fund management and equity trading platforms.

Keywords: ISCR; CR; investment funds; hedge fund; management company; FCA handbook; fund manager; UCITS fund; equity trading; private equity; U.K. fund manager; UCITS management company; FCA handbook rule; fund rule; alternative investment; FCA rule; Mutual funds; Liquidity risk; Hedge funds; Liquidity management; Global; Europe (search for similar items in EconPapers)
Pages: 57
Date: 2016-06-17
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