WebApr 16, 2024 · FOIA exemptions and exclusions. A request for records may be denied if the requested record contains information which falls into one or more of the nine categories … WebDec 1, 2024 · In a policy statement, the FCA said the new inducement rules mean research on firms below the threshold can be provided by brokers to asset managers on a “bundled basis” or for free. Other changes include exemptions for third party research on fixed income currencies and commodities (FICC) instruments and research from providers …
FCA proposes research and best execution changes to UK MiFID
WebNov 30, 2024 · Macro-economic research not part of FICC exemption In a move not signalled in the original Consultation, the FCA have clarified that macro-economic … WebApr 4, 2024 · News release. The FICC Markets Standards Board (FMSB), Bank of England (the Bank) and Financial Conduct Authority (FCA) have today announced signing a tri-party Memorandum of Understanding (MoU).. The MoU sets out a high-level framework formalising the continuing cooperation between FMSB, the Bank and FCA in relation to … is smuckers jelly vegan
ESMA Q&A on MiFID II inducements rules (research) …
WebApr 29, 2024 · Check and check again. You need to be absolutely sure you qualify for an exemption or exclusion from being authorised. If you get it wrong, you could end up committing a criminal offence. The exemptions and exclusions listed above are not exhaustive. Further information can be found in the Perimeter Guidance manual under … WebThe FCA is proposing to creating an exemption from the inducements rules for third party research received by a firm providing investment services or ancillary services to clients, … WebDec 8, 2024 · Exempt third party research on fixed income currencies and commodities (FICC) instruments from the inducement rules allowing it to be provided on a bundled basis and would not constitute an ... is smucker\u0027s honey real