Financial Conduct Authority (FCA), Regulatory Requirements, Investment Adviser

FCA publishes final rules on data decommissioning

A&O Shearman on 7/10/2025

The UK Financial Conduct Authority (FCA) has published final policy statement PS25/7, alongside an updated webpage, on data decommissioning. Following the FCA's consultation in April, it has proceeded with: - Removing the...more

Regulation Round Up - June 2025

Proskauer Rose LLP on 7/10/2025

Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more

FCA launches IAAT

A&O Shearman on 6/16/2025

The UK Financial Conduct Authority (FCA) has launched the investment advice assessment tool (IAAT) to help personal investment firms assess the suitability of their investment advice and disclosures to consumers (excluding...more

FCA publishes consultation on streamlining data collection requirements

A&O Shearman on 4/25/2025

The UK Financial Conduct Authority (FCA) has published a consultation paper (CP) proposing the removal of reporting and notification requirements as part of its strategy to prevent unnecessary collection of data to reduce...more

UK allows bundled payments for third-party research and trading commissions

A&O Shearman on 8/15/2024

From 1 August 2024, the UK changed its rules on how payments are made for investment research. UK firms may now use bundled payments for third-party research and trading commissions, subject to certain requirements being...more

Irish Quarterly Legal and Regulatory Report - Asset Management and Investment Funds July - September 2023

Walkers on 10/18/2023

Welcome to the July – September 2023 issue of our Irish Quarterly Legal and Regulatory Developments report for asset management and investment funds. This report covers key dates and developments during the quarter, such...more