Review of host Authorised Fund Management firms – FCA

“We wanted to test the viability of the host Authorised Fund Manager (AFM) business models and assess whether conflicts of interests were being effectively managed.”

“From Q4 2019 to Q4 2020, we visited a sample of host AFMs to review the effectiveness of their governance, controls and monitoring. These firms operate a significant number of authorised funds. We also asked them questions about the risks in their business models.”

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