FCA Review: Suitability

The FCA seems happy with the outcome of a review of suitability it undertook last year which captured 1,142 individual pieces of advice given by 656 firms.

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.