by Emma Cleveland | 2014-12-10 | Industry News
The FCA have issued a report on their findings of a review of conflicts of interest arising from wealth management and private banking firms’ use of in-house investment products (“IHPs”) in retail discretionary and advisory investment portfolios. The regulator’s...
by Emma Cleveland | 2014-12-09 | Our Thinking
In its TR 13/14 thematic review, the FCA discussed the implications of payment for order flow on best execution and the integrity of the financial markets. The regulator took a clear stance against payment for order flow and declared its active pursuit against the...
by Emma Cleveland | 2014-12-02 | Industry News
On 27 November 2014 the FCA issued their regulatory fees and levies policy proposals for 2015/16 (CP14/26 Regulatory fees and levies: policy proposals for 2015/16). In the paper they have set out the proposed policy changes to the regulator’s fee and levy regimes. The...
by Emma Cleveland | 2014-11-27 | Our Thinking
Following the MiFID II conference on 18 September 2014, the FCA have expressed their pursuit towards more lit and transparent trading venues. MiFID II will set new caps on dark trading and will aim to achieve a balance between allowing for the maintenance of...
by Emma Cleveland | 2014-11-19 | Our Thinking
The distinction between Negligence and Gross Negligence in English contract law has been an issue in many commercial contracts for over a century. In order to reduce the confusion surrounding such matters we have written a brief of the leading case law on the matter...
