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Summary of SPOT inspections of the compliance and internal control functions within asset management companies
Summary of SPOT inspections of the compliance and internal control functions within asset management companies
The scope of this SPOT campaign encompassed the compliance and internal control functions in place within five asset management companies ("AMCs"). The campaign was part of an ESMA common supervisory action (CSA) for the 2025 financial year. It follows on from the SPOT campaign conducted in 2020 on the outsourcing of internal control. An initial analysis phase, preceding the SPOT inspection phase, was carried out by means of a questionnaire sent to a wider population of financial market participants (41 companies) than the five AMCs inspected.
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