Consultation paper: Content of regulatory returns for licensed DI, MIS managers and DIMS providers

First published 12 March 2018 

Updates

March 2021

After carefully considering the feedback we received on the proposed question sets and incorporating a number of changes, we have published a response to submissions and the final question sets (see links above).

April 2018

We are seeking feedback from licensed derivative issuers (DI), managers of managed investment schemes (MIS) and discretionary investment management service (DIMS) providers on the information they will have to supply in their annual regulatory returns.

This consultation outlines the information we plan to ask about the regulatory returns for those providers. These returns are required by law and help us make sure licensees continue to perform their market services effectively, post-licensing.

Submissions closed at 5pm on Wednesday 11 April 2018

If you have questions please email [email protected]. In the subject title please state 'Consultation on the content of regulatory returns for licensed DI, MIS managers and DIMS providers'