Best Execution and Payment For Order Flow
Following a thematic review of best execution the FCA has now published the results of its findings.
New Remuneration Code
The FCA and PRA have issued a joint Consultation Paper: ‘Strengthening the alignment of risk and reward; new remuneration rules’.
Connect vs. ONA
A reminder that the FCA’s Online Notifications and Applications system (ONA) will be largely replaced by a new online system – ‘Connect’.
AIFMD Reporting: ESMA Guidelines
ESMA updated its AIFMD Reporting Guidelines earlier this month which AIFMs may find useful.
Recovery and Resolution
Impact of Recovery and Resolution Directive.
Retrospective Application of Rules
The FCA is reaching out to the industry for examples where it is believed that the FCA has applied its rules retrospectively.
EMIR Review
The FCA has undertaken a review on how industry dealt with the new obligations under EMIR