Financial Conduct Authority (FCA), Best Execution, UK

UK FCA policy statement on the DTO and PTRR services

A&O Shearman on 4/15/2025

The UK Financial Conduct Authority (FCA) has published its policy statement (PS25/2) with final rules on the classes of derivatives subject to the derivatives trading obligation (DTO) and the new framework for the exemptions...more

FCA consults on changes to Investment Research and Best Execution reporting

BCLP on 5/20/2021

On 28 April 2021 the Financial Conduct Authority (FCA) published a consultation paper (CP 21/9) on proposed changes to its investment research rules and best execution reporting requirements. We discuss these proposed...more

UK FCA consults on changes to MiFID II research and best execution reporting requirements

Hogan Lovells on 4/30/2021

The Financial Conduct Authority (FCA) has published a consultation paper, CP21/9, on some initial changes to its conduct and organisational requirements implementing the EU Markets in Financial Instruments Directive (MiFID...more

FCA Consults on Changes to UK MiFID Conduct and Organisational Requirements

Latham & Watkins LLP on 4/29/2021

The consultation proposes changes to rules on research and best execution reporting. On 28 April 2021, the FCA published a Consultation Paper (CP21/9) on proposed changes to UK MiFID relating to research unbundling and...more

Global Developments on Best Execution

Latham & Watkins LLP on 5/3/2018

Best execution is currently a hot topic for global regulators and the past year has seen notable regulatory focus in this area. Amid this development, firms are recommended to review their global best execution compliance...more

Best Execution Concerns Reiterated by the UK Financial Conduct Authority

A&O Shearman on 3/17/2017

The Financial Conduct Authority published a statement on best execution compliance by investment firms. The statement sets out the FCA's findings from supervisory work on how investment managers deliver best execution for...more