Tag: rdr
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Advice Guidance Boundary Review: Early thinking on how to fix the advice gap
UK: Retail product distribution payments under the FCA spotlight - finalised guidance on inducements and conflicts of interest
The FCA has set an uncompromising compliance standard for what it sees as unacceptable payments from product providers to advisors in the retail …
FCA confirms bans on payments to platforms and cash rebates
The FCA has published its policy statement and final rules which confirm that it will ban (i) payments from product providers to platforms, and (ii) …
UK: Financial Conduct Authority (FCA)'s Risk Outlook and Business Plan for 2013 published
The FCA's Risk Outlook (FCA RO) has been published today, setting out the regulator's current thinking on conduct in financial markets by …
PRIPs: Proposed Regulation on pre-sale disclosures for Packaged Retail Investment Products – interaction with RDR and MiFID II
The European Commission has now published its final proposal for a Regulation on mandatory pre-sale disclosures for Packaged Retail Investment Products …
MiFID II: a greater step away from the RDR?
Key recommendations by the Rapporteur on the investor protection elements of the proposed MiFID II Directive, contain some potentially significant …
Treasury Select Committee and FSA disagree over timing of RDR implementation
The Treasury Select Committee ("the Committee") published a report on its inquiry into the Retail Distribution Review ("RDR") on Saturday, and recommends …
Consultation on the review of the Markets in Financial Instruments Directive: Investment advice and the FSA's Retail Distribution Review
The European Commission published its consultation (the "Consultation") on the review of the Markets in Financial Instruments Directive ("MiFID") in …
European reforms to regulation of packaged retail investment products
The European Commission has recently published its long-awaited proposals on the regulation of Packaged Retail Investment Products (PRIPs). The aim …
FSA confirms professionalism aspects of RDR
The FSA has published its final rules on professionalism in the context of delivering the Retail Distribution Review (RDR) in policy statement …