Best Execution

The Coronavirus (COVID-19) Pandemic: A Summary of FCA Guidance & Regulatory Developments in the EU’s Investment Services and Capital Markets Sectors

The FCA has issued the following guidance to the financial services industry regarding the response that FCA expects firms to take in response to the Coronavirus (COVID-19) pandemic. The FCA […] [...]

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 […] [...]

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. […] [...]

Investment and Corporate Banking Study

In July 2014 the FCA launched its wholesale sector competition review with a call for inputs – see Regulatory Roundup 57 for further details. The review of feedback ended in […] [...]

Best Execution and Payment for Order Flow: The FCA talks tough

Recipients of our recent Regulatory Roundup (issue 58) may have read the article on ‘Best Execution and Payment For Order Flow’ following the publication by the FCA of its findings […] [...]

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 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 Although the findings will not be published until later this year, […] [...]

Tag: Best Execution

The Coronavirus (COVID-19) Pandemic: A Summary of FCA Guidance & Regulatory Developments in the EU’s Investment Services and Capital Markets Sectors

Use of Dealing Commission 2017

Best Execution

Investment and Corporate Banking Study

Best Execution and Payment for Order Flow: The FCA talks tough

Best Execution and Payment For Order Flow

Best Execution in Different Markets

INSIGHTS & EXPERTISE

NEWS & EVENTS

Webinar: Beyond Compliance: What the 2025 Consumer Duty Report Tells Us

Webinar: Unlocking the Power of ViCA, Your AI-Powered Virtual Compliance Assistant

Online Training Course: Your MLRO Training Day

Webinar: Navigating the IFPR Impact: Good and Poor Practices Observed

In-Person Training Course: Your MLRO Training Day

In-Person Training Course: Your MLRO Training Day

Subscribe for Exclusive Regulatory News and Updates

Member of:

Accredited by:

Member of:

Accredited by:

Global Offices

Complyport (UK)

Complyport (UAE)

Complyport (EU)

Connect With Us