FCA moots MiFID reporting exemption for some funds
The FCA's most recent MiFID paper exempts certain funds, such as UCITS and alternatives, from reporting obligations.
Tag: FCA
Threadneedle fined for failure on trading controls
Thwarted erroneous trades and lax trading processes have cost one of the UK’s largest managers.
FCA urged to break down barriers for smaller firms
Help for smaller asset managers could improve the competitive environment in the sector.
FCA launches study of asset management industry
FCA plans year-long study into asset managers, looking at competitiveness and achieving value for money for clients.
Former Aviva analyst banned for trading exploits
Aviva Investors analyst exploited systems weaknesses to cherry pick trades.