The Investment Business (Approved Managers) Regulations 2012 (the Regulations) and Approved Investment Managers Guidelines (the Guidelines) establish a regime that allows eligible investment managers and advisers to be regulated under a simple approval process and avoid the licensing regime under Part I of the Securities and Investment Business Act 2010 (SIBA).
We outline below some of the ongoing obligations of approved investment managers and advisors (each referred to as an Approved Manager) under the Regulations and the Guidelines. Download the PDF to read more.
