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FCA To Examine Investment Firms' Trade Reporting - Latest News


FCA to investigate impact of EU asset management rules after criticism

"Firstly, in a changing investment research market, is the new model delivering the inducement-free outcomes it seeks? and secondly, can firms ... if the FCA's conclusions mean that managers have to r... read more

British Regulator to Examine Competition in Investment Banking

LONDON — The Financial Conduct Authority of ... for new entrants or smaller firms to challenge existing players. The authority released a summary of its findings this month. “The U.K. is a global hub ... read more

Exclusive: Unregulated British firm draws Asian investors

Offering investment ... firm on Jan. 23 because it had never filed accounts. If a company is struck off, it cannot continue to trade legally and its assets pass to the state. UK-registered companies m... read more

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Demand for MiFID II I Advisory Drives TABB Group UK Expansion

“Our impressive European growth is a direct result of the fact that securities and investment firms recognize they need superior ... to their brokers SI use will not be a way to avoid trade reporting ... read more


UPDATE 1-UK watchdog fines Merrill Lynch 34.5 mln pounds for reporting failure

LONDON, Oct 23 (Reuters) - Britain's financial watchdog has fined Bank of America's Merrill Lynch investment banking arm ... Infrastructure Regulation (EMIR), the FCA said. "It is vital that reporting ... read more

Is your DIY investing platform a good deal? Watchdogs launch probe to find out if savers get value for money

The Financial Conduct Authority ... for those with small sums who trade infrequently. Read our guide to choosing a DIY investing platform, which covers the charges levied by top firms in depth. What d... read more

Corporate Governance Watchdog to Examine Barclays’ Auditor

The Financial Reporting Council said ... or about $58.9 million, by the Financial Conduct Authority, a financial services regulator, for “significant weaknesses” in the systems and controls at Barclay... read more

China's Great Wall confirms interest in Fiat Chrysler

FCA ... investment firm GSR Capital. That deal, which includes a battery plant in Tennessee, will be voluntarily submitted for CFIUS approval, according to a person familiar with the matter. President ... read more

MiFID2 for U.S. firms: Key Questions Answered

For U.S. managers with an EU subadvisor, the EU subadvisor will typically be regulated as a MiFID ‘investment firm ... any delays either. The Financial Conduct Authority have made it abundantly clear ... read more

UK watchdog fines Merrill Lynch 34.5 million pounds for reporting failure

LONDON (Reuters) - Britain's financial watchdog has fined Bank of America's (BAC.N) Merrill Lynch investment banking arm ... Infrastructure Regulation (EMIR), the FCA said. "It is vital that reporting ... read more

'Single all-in fee' for fund investors backed by FCA

But meanwhile, the FCA plans to launch ... fund objectives and the reporting of investment performance clearer, including which benchmarks funds choose to compare themselves against * Consult on requi... read more



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