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    Profile of registrant

The Investment Association

Identification number in the register: 5437826103-53
Registration date: 30/06/2008 15:04:37

The information on this entity was last modified on: 28/10/2015 17:22:09
The date of the last annual update was: 24/02/2015 18:08:38
Next update due latest on: 24/02/2016

    Registrant : Organisation or self-employed individual

The Investment Association

UK company limited by a guarantee, not for profit organisation

    Section of registration

II - In-house lobbyists and trade/business/professional associations

Trade and business associations

    Contact details

Kingsway, 65
London WC2B 6TD

(+44)0207831 0898

    Person with legal responsibility

Mr  Guy Sears

Interim Chief Executive

    Person in charge of EU relations

Mr  Richard Metcalfe

Director, Regulatory Affairs

    Goals / remit

The Investment Association’s purpose is to ensure investment managers are in the best possible position to:
- Build people’s resilience to financial adversity
- Help people achieve their financial aspirations
- Enable people to maintain a decent standard of living as they grow older
- Contribute to economic growth through the efficient allocation of capital

The Investment Association provides a centre of excellence on investment management and publishes regular data on the state of the industry. The Investment Association members are committed to ensuring that high standards are maintained within the industry, to the benefit of investors and the industry itself.

  • European
  • global
  • national

    Specific activities covered by the Register

All dossiers relating to the service of asset management, whether via funds (eg. UCITS) or for institutions such as insurers and pension schemes, and covering related matters including tax, accounting and disclosure and investor protection as it relates to these and all other investment products. Equally, we track developments such as MiFIR, touching on the wholesale markets that asset management makes accessible to customers, together with related issues such as operations and prevention of market abuse. In addition, the Association intervenes on matters of risk and risk management, including the systemic risks posed by institutions such as CCPs (clearing houses) as well as banks. We do all the above with regard to international consistency and mutual recognition.

We assist members in implementing EU legislation and host or sponsor occasional events in Brussels, such as conferences, to which EU officials, policy makers and MEPs and staff may be invited.




Jorge Morley-Smith (Director) is a member of the TAXUD Expert Group on Automatic Exchange of Financial Account Information



The Investment Association works to promote a legal, tax and regulatory environment which makes investment better, both in the UK, Europe and internationally. Better for clients of investment managers, so they achieve their financial goals. Better for companies, so they get the capital they need to grow. Better for the economy, so the country prospers. In Europe our main aim is to achieve a true Single Market in investment management to improve the consumers' experience and help them achieve their (financial) aspirations.

    Number of persons involved in the activities described in the box above

100%: 4   75%: 6   50%: 2   25%: 18



A team of 4 is involved in active direct engagement on EU dossiers, with other staff having either occasional involvement or, more commonly, an analytical role that also entails some amount of drafting of responses to EU consultations, whether from the Commission or the ESAs.

    Persons accredited for access to European Parliament premises

First name Surname Start Date End Date
Angus CANVIN 17/03/2015 13/03/2016
Elizabeth MURRALL 20/05/2015 14/05/2016
Andrew NINIAN 20/05/2015 14/05/2016
Guy SEARS 19/03/2015 17/03/2016
Arjun SINGH 05/11/2015 03/11/2016

    Fields of interest

  • Competition
  • Consumer Affairs
  • Economic and Financial Affairs
  • General and Institutional Affairs
  • Home Affairs
  • Internal Market
  • Justice and Fundamental Rights
  • Taxation
  • Trade

    Membership and affiliation

We are members of EFAMA (European Fund and Asset Management Association) and the Financial Future (FF) discussion forum.

    Financial data

01/2014  -  12/2014

3,000,000 € - 3,249,999 €

No funding received from the EU institutions during the last closed financial year.

We have assumed an exchange rate of £1=€1.35.

The figures are marginally inflated, to the extent that some staff only joined half way through the year but have been counted as working all of 2014, in order to avoid any risk of understating the Association's spend on EU advocacy.

    Code of conduct

By its registration the organisation has signed the Transparency Register Code of Conduct.