Dealing and Execution - Complyport UK Consultancy Service

Alternative Finance Investment Bonds to be permitted to trade on MTFs & OTFs

A draft statutory instrument (“the Order”) entitled Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2018 was laid before Parliament on 9 May 2018 and is awaiting formal […] [...]

London Stock Exchange consultation on the International Order Book trading service

The London Stock Exchange (“LSE”) is conducting a consultation on the market structure and trading hours for the International Order Book (“IOB”). IOB allows direct access to securities from 44 […] [...]

ESMA prohibits binary options and restricts CFDs to protect retail investors

Of relevance to: All firms providing contracts for differences and/or binary options to retail investors Key date: Applicable from two months, for CFDs, and one month, for binary options, after […] [...]

LSE requires all those with securities admitted to trading on AIM to have a Legal Entity Identifier

Of relevance to: All firms having dealings on or with the London Stock Exchange’s AIM Key date: Applicable from 3 January 2018 The London Stock Exchange (“LSE”) requires all AIM […] [...]

AIM – SME Growth Market Application and consequences for Insider Lists under MAR

Of relevance to: All firms having dealings on or with the London Stock Exchange’s AIM and anyone keeping insider lists under MAR Key date: Applicable from 3 January 2018 The […] [...]

Equities Electronic Trading Questionnaire ready for MiFID II

Of relevance to: Buy-side clients who need to request information from electronic trading providers in the European equity markets Key date: Applicable from 3 January 2018 The Association for Financial […] [...]

Use of Dealing Commission 2017

Of Relevance to: Investment Managers As mentioned in the separate article “Best Execution” in this Regulatory Roundup, the FCA recently completed a follow-up review looking at how investment managers oversee […] [...]

Best Execution

Of Relevance to: Investment Managers The FCA has published a statement on its website to the effect that investment managers are (still) failing to ensure effective oversight of best execution. […] [...]

Best Execution and Payment For Order Flow

Following a thematic review of best execution (see Regulatory Roundup 53) the FCA has now published the results of its findings – TR14/13: “Best execution and payment for order flow”. […] [...]

Best Execution and Payment For Order Flow

Best Execution in Different Markets

Market Watch 45 confirms that the FCA is currently undertaking a thematic review of best execution in different markets. Although the findings will not be published until later this year, […] [...]

Transparent Asset Managers

In a recent speech to asset managers, Martin Wheatley Chief Executive of the FCA, returned to the topics of dealing commission and corporate access (Regulatory Roundup 47 had an article […] [...]

Short Selling

Firms should note that the FCA has amended the short selling notifications process. A new registration form for anyone making notifications for the first time has been developed alongside forms […] [...]

Corporate Access

There have been a few press articles recently on ‘corporate access’ and the possibility of the FSA taking action against asset managers that use clients’ money to pay for such […] [...]

Asset Managers: An Important Message

Between June 2011 and February 2012 the FSA conducted thematic reviews of asset management firms on the subject of managing conflicts of interest. The Regulator identified many failings, which may […] [...]

Short Selling Disclosures and Notifications Update

As was mentioned in Regulatory Roundup 43, new, EU driven, short selling rules came into force in the UK from 1 November. In brief, the regulations (EU 236/2012) place restrictions […] [...]

Short Selling Changes

As will be known – e.g. see Regulatory Roundup 21 – the European Commission has the goal of harmonising short selling rules. EU 236/2012, being a Regulation ‘on short selling […] [...]

Short Selling Ban

As has been widely reported, on 11 and 12 August, the respective securities market regulators of France, Italy, Spain and Belgium, in conjunction with the European Securities and Markets Authority […] [...]

Stewardship Code

Regulatory Roundup 17 referred to proposed changes to COBS 2.2 (‘Information disclosure before providing services’) to require a firm, when managing investments for a professional client (that is not a […] [...]

Category: Dealing and Execution

Alternative Finance Investment Bonds to be permitted to trade on MTFs & OTFs

London Stock Exchange consultation on the International Order Book trading service

ESMA prohibits binary options and restricts CFDs to protect retail investors

LSE requires all those with securities admitted to trading on AIM to have a Legal Entity Identifier

AIM – SME Growth Market Application and consequences for Insider Lists under MAR

Equities Electronic Trading Questionnaire ready for MiFID II

Use of Dealing Commission 2017

Best Execution

Best Execution and Payment For Order Flow

Best Execution and Payment For Order Flow

Best Execution in Different Markets

Transparent Asset Managers

Short Selling

Corporate Access

Asset Managers: An Important Message

Short Selling Disclosures and Notifications Update

Short Selling Changes

Short Selling Ban

Stewardship Code

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