News & Analysis as of

Investment Adviser › Investors › Financial Conduct Authority (FCA)

A&O Shearman

FCA launches IAAT

A&O Shearman on

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

A&O Shearman

European Commission Publishes Retail Investment Strategy

A&O Shearman on

On May 24, 2023, the European Commission published a Retail Investment Strategy package aimed at enhancing retail investor protections across the EU and encouraging participation in the EU capital markets. The package...more

A&O Shearman

UK Financial Conduct Authority Consults on Regulatory Perimeter Guidance for Trading Venues

A&O Shearman on

The U.K. Financial Conduct Authority has published a consultation paper on proposed guidance on the regulatory perimeter for multilateral trading facilities and on possible future changes to smaller trading venues' regulatory...more

A&O Shearman

UK Conduct Authority Warns Buy Now Pay Later Firms on Compliance with Financial Promotion Requirements

A&O Shearman on

The U.K. Financial Conduct Authority has issued a warning to Buy Now Pay Later firms about financial promotions that potentially breach the FCA's rules. The Financial Services and Markets Act 2000 prohibits the communication...more

A&O Shearman

UK Wholesale Markets Review

A&O Shearman on

The U.K.’s policy approach to regulating secondary markets and investment firms, now that the U.K. has left the EU, has been confirmed by the government. Last year, HM Treasury conducted its Wholesale Markets Review proposing...more

5 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide