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News And Insights

  • Regulatory Update

Unbundling Investment Research costs from Trade Execution costs (US)

SEC issues no-action letters providing greater certainty over the US Regulated activities of market participants
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  • Regulatory Update

Investment Research

FCA releases statement on MiFID II inducements and research
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  • Regulatory Update

Legal Entity Identifiers

Transaction reporting obligations for firms subject to MiFID II
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  • Regulatory Update

Principals who have Appointed Representatives

FCA issues second alert highlighting risks of not having adequate AR oversight
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  • Regulatory Update

Variation of Permission / Authorisation

Deadline approaches for MiFID II firms to submit Variation of Permission applications
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  • Regulatory Update

Asset Management Authorisation Hub

FCA launches Asset Management Authorisation Hub
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