Best Execution

FCA publishes statement regarding failing oversight of best execution

UCITS and AIFs: Transparency Requirements

A reminder to UCITS management companies and AIFMs that certain transparency obligations arising under the Securities Financing Transactions Regulation (“SFTR” – 2015/2365) apply from 13 January 2017 - see Regulatory Roundup 76.

Mandatory Use of SFC Online Portal

Effective 1 February 2017, all Hong Kong SFC applications, notifications and annual returns filed by Licensed Representatives must be submitted by way of the SFC’s online portal.