Tag: Financial Conduct Authority

Scrapping of MiFID II research requirements for small caps and best ex by FCA could pose risk to UK businesses also operating in the EU, says RegTech expert.

Financial Conduct Authority removes the requirement to submit RTS 27 and RTS 28 reports and exempts companies with a market cap of less than £200m from research payment rules.

The soon-to-launch Scottish Stock Exchange aims to bring impact investing to the forefront of the capital markets.

Standard Chartered said the fines relate to violations of US sanctions laws and financial crime control failures in the UK.

Senior reporter Hayley McDowell examines ESMA’s investigations into periodic auctions and asks what it could mean for the future of trading post-MiFID II.

The FCA appears to take a more relaxed approach to periodic auctions, while asset managers and other regulators remain concerned about their lack of transparency.

MiFID II compliance with best execution, unbundling and payment for order flow are among the rules the FCA will be looking at this year.

FCA enforces annual assessment despite concerns around sensitive information and the time frame having been raised.