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Investment MiFID II Financial Institutions

A&O Shearman

FCA plans to modernise client categorisation rules

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The UK Financial Conduct Authority has announced plans to review its client categorisation rules to unlock more investment opportunities for wealthy investors and support capital markets...more

A&O Shearman

UK Conduct Regulator Proposes Payment Optionality for Investment Research

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The U.K. Financial Conduct Authority has opened a consultation setting out proposals for allowing firms to use joint (bundled) payments for third-party research and execution services, subject to certain requirements being...more

A&O Shearman

UK Investment Research Review Signifies Further EU-UK Divergence on Unbundling Research Rules

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The report and recommendations of the UK Investment Research Review were published on July 10, 2023. The recommendations have been accepted by the government and the Financial Conduct Authority has committed to prioritizing...more

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