Allocation, Allocation, Allocation
Aviva Investors Global Services Ltd has been fined £17,607,000 for what the Final Notice describes as systems and controls failings
EMSA Peer Review
As may be recalled, last July the FCA released the results of a thematic review (TR14/13) on ‘Best execution and payment for order flow’
Financial Promotions – Social Media
ESMA publishes review on the supervision and enforcement of MiFID requirements relating to best execution
AIFMs – Changes to Handbook
The FCA publishes its Quarterly Consultation Paper CP15/8 this month
FATCA Reminder
First returns must be submitted to HMRC by 31 May 20
Compliance Officer Prohibition
Prohibition: Publication of three Final Notices reminds us that the FCA may pursue individuals