Nicholas Losurdo

Oct 29, 2024 | mondaq.com | Nicholas Losurdo

On October 21, 2024, the EXAMS division released its 2025 examination priorities letter. The 2025 priorities letter represents only a sliver of the topics firms can expect EXAMS to cover over the next year, and this alert focuses on a few of the key areas in which broker-dealers will face scrutiny. Technology is an overarching theme throughout the priorities letter.

Jul 30, 2024 | jdsupra.com | Glynn Barwick |Andrew Henderson |Nicholas Losurdo

In our previous alert, Paying for Buy-Side Investment Research: Will the FCA’s Third Way Ease the US-UK Divide?, we discussed the consultation issued by the Financial Conduct Authority (FCA) on proposed rules on payment optionality for investment research. This had followed the UK Investment Research Review, which contained a key recommendation that the FCA to amend its rules on research unbundling to allow FCA-authorised investment managers more flexibility in how they pay for research.

Jul 29, 2024 | mondaq.com | Andrew Henderson |Nicholas Losurdo |Glynn Barwick

In our previous alert, Paying for Buy-Side Investment Research: Will the FCA's Third Way Ease the US-UK Divide? | Insights & Resources | Goodwin (goodwinlaw.com), we discussed the consultation issued by the Financial Conduct Authority (FCA) on proposed rules on payment optionality for investment research.

Apr 29, 2024 | jdsupra.com | Glynn Barwick |Andrew Henderson |Nicholas Losurdo

On 10 April 2024, the Financial Conduct Authority (FCA) published a Consultation Paper on payment optionality for investment research (CP24/7). CP24/7 followed the UK Investment Research Review, in which recommendations were made to help boost the UK investment research market. A key recommendation was for the FCA to amend its rules on research unbundling to allow FCA-authorised investment managers more flexibility in how they pay for research.

Apr 25, 2024 | mondaq.com | Andrew Henderson |Nicholas Losurdo |Glynn Barwick

On 10 April 2024, the Financial Conduct Authority (FCA) published a Consultation Paper on payment optionality for investment research (CP24/7). CP24/7 followed the UK Investment Research Review, in which recommendations were made to help boost the UK investment research market. A key recommendation was for the FCA to amend its rules on research unbundling to allow FCA-authorised investment managers more flexibility in how they pay for research.