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Clive Cunningham Herbert Smith Freehills LLP

Results 1 to 5 of 45



FCA publishes feedback on its thematic review of the use of dealing commission *

United Kingdom - August 18 2014
The Financial Conduct Authority ("FCA") has published a Discussion Paper (DP14/3) "Discussion on the use of dealing commission regime: Feedback on…

Co-authors: Karen Anderson, Henrietta de Salis.


MiFID II: phase 2 has begun *

European Union - June 11 2014
The European Securities and Markets Authority (ESMA) is consulting on the implementation of the revised EU Markets in Financial Instruments Directive…

Co-authors: Karen Anderson, Patricia Horton, Henrietta de Salis.


FCA publishes final changes to its rules on the use of dealing commission *

USA - May 19 2014
The Financial Conduct Authority ("FCA") has published its policy statement on Changes to the use of dealing commission rules PS 14/7, which covers…

Co-authors: Henrietta de Salis.


Retail products distribution payments under FCA spotlight: FCA finalised guidance on inducements & conflicts of interest *

United Kingdom - February 10 2014
The FCA has set an uncompromising compliance standard for what it sees as unacceptable payments from product providers to advisors in the retail…

Co-authors: Alison Matthews, Geoffrey Maddock, Patricia Horton, Henrietta de Salis.


RDR in practice: FCA concerns about inducements undermining RDR objectives (thematic review and guidance consultation 13/5) *

United Kingdom - October 3 2013
The FCA has highlighted serious concerns over payments (and other benefits) in service or distribution agreements which it considers may undermine…

Co-authors: Karen Anderson, Geoffrey Maddock.


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