Market watchdog proposes flexible payment options for investment research.
The new proposal allows the bundling of research and execution payments.
The
Financial Conduct Authority (FCA) has unveiled plans to introduce a new payment
method for investment research, aiming to promote competition and facilitate
easier access to research across borders. The proposed changes come as part of
the government's Edinburgh reforms, following an independent report that
suggested ways to enhance UK markets.
FCA Proposes Flexible
Payment Options for Investment Research
Under the
new proposal, asset managers would have greater flexibility in paying for
research that supports investment decisions. The FCA's plan would allow
the “bundling” of payments for third-party research and trade execution alongside current options, such as payment from an asset manager's resources or a dedicated account.
"We
are proposing to provide more options on how to pay for such research, helping
boost competition and making it easier to buy research across borders," Sarah
Pritchard, the Executive Director of Markets and International at the FCA, commented. She emphasized the importance of high-quality, easily accessible
investment research in maintaining a healthy and dynamic capital market.
The FCA's
analysis indicates that while asset managers are generally obtaining the
necessary research under the current rules, the available options can be
operationally complex and may sometimes favor larger asset managers.
Additionally, the current regulations can limit UK asset managers' ability to
purchase investment research outside the UK.
This is another of the new regulatory ideas after the FCA announced three weeks ago its intention to combat memes and reels in promoting financial services and products. "Promotions are not just about likes but also about the law," Lucy Castledine, the Director of Consumer Investments at the FCA, commented.
The Final Rules by June
2024
The FCA's
proposed payment options are designed to be compatible with regulations in
other significant markets, making it more straightforward for asset managers to
purchase research consistently across international borders.
Before
announcing its proposals, the FCA conducted a thorough consultation process,
engaging with various industry participants. This included discussions
with firms on both the sell-side and buy-side of the market, as well as
research providers and representatives of end investors. Additionally, the
regulator conducted a comprehensive survey of buy-side firms to obtain
quantitative data that informed its decision-making process.
Looking
ahead, the FCA intends to implement the final rules by the end of the second
quarter of 2024. However, the exact timeline will depend on the nature and
extent of the feedback received during the consultation period. The regulator
will carefully analyze stakeholders' comments and suggestions to
ensure that the final rules are well-informed and effective.
The
Financial Conduct Authority (FCA) has unveiled plans to introduce a new payment
method for investment research, aiming to promote competition and facilitate
easier access to research across borders. The proposed changes come as part of
the government's Edinburgh reforms, following an independent report that
suggested ways to enhance UK markets.
FCA Proposes Flexible
Payment Options for Investment Research
Under the
new proposal, asset managers would have greater flexibility in paying for
research that supports investment decisions. The FCA's plan would allow
the “bundling” of payments for third-party research and trade execution alongside current options, such as payment from an asset manager's resources or a dedicated account.
"We
are proposing to provide more options on how to pay for such research, helping
boost competition and making it easier to buy research across borders," Sarah
Pritchard, the Executive Director of Markets and International at the FCA, commented. She emphasized the importance of high-quality, easily accessible
investment research in maintaining a healthy and dynamic capital market.
The FCA's
analysis indicates that while asset managers are generally obtaining the
necessary research under the current rules, the available options can be
operationally complex and may sometimes favor larger asset managers.
Additionally, the current regulations can limit UK asset managers' ability to
purchase investment research outside the UK.
This is another of the new regulatory ideas after the FCA announced three weeks ago its intention to combat memes and reels in promoting financial services and products. "Promotions are not just about likes but also about the law," Lucy Castledine, the Director of Consumer Investments at the FCA, commented.
The Final Rules by June
2024
The FCA's
proposed payment options are designed to be compatible with regulations in
other significant markets, making it more straightforward for asset managers to
purchase research consistently across international borders.
Before
announcing its proposals, the FCA conducted a thorough consultation process,
engaging with various industry participants. This included discussions
with firms on both the sell-side and buy-side of the market, as well as
research providers and representatives of end investors. Additionally, the
regulator conducted a comprehensive survey of buy-side firms to obtain
quantitative data that informed its decision-making process.
Looking
ahead, the FCA intends to implement the final rules by the end of the second
quarter of 2024. However, the exact timeline will depend on the nature and
extent of the feedback received during the consultation period. The regulator
will carefully analyze stakeholders' comments and suggestions to
ensure that the final rules are well-informed and effective.
Damian's adventure with financial markets began at the Cracow University of Economics, where he obtained his MA in finance and accounting. Starting from the retail trader perspective, he collaborated with brokerage houses and financial portals in Poland as an independent editor and content manager. His adventure with Finance Magnates began in 2016, where he is working as a business intelligence analyst.
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FMLS:24 | Shaping the Next Era of Financial Evolution
FMLS:24 | Shaping the Next Era of Financial Evolution
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Join over 2,500 industry professionals, engage with 150+ expert speakers, and discover endless opportunities with 70+ top exhibitors. FMLS:24 is where senior executives and decision-makers gather to close deals, forge new partnerships, and strengthen connections with long-term clients.
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FMLS:24 | Shaping the Next Era of Financial Evolution
FMLS:24 | Shaping the Next Era of Financial Evolution
Welcome to FMLS:24 – the premier event where influential brands and leaders in trading, payments, fintech, and digital assets come together!
Join over 2,500 industry professionals, engage with 150+ expert speakers, and discover endless opportunities with 70+ top exhibitors. FMLS:24 is where senior executives and decision-makers gather to close deals, forge new partnerships, and strengthen connections with long-term clients.
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Join over 2,500 industry professionals, engage with 150+ expert speakers, and discover endless opportunities with 70+ top exhibitors. FMLS:24 is where senior executives and decision-makers gather to close deals, forge new partnerships, and strengthen connections with long-term clients.
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FM's Andrea Badiola Mateos at LSEG's Cyprus event
FM's Andrea Badiola Mateos at LSEG's Cyprus event
FM's Andrea Badiola Mateos at speaking in a panel discussion at LSEG's Cyprus event
FM's Andrea Badiola Mateos at speaking in a panel discussion at LSEG's Cyprus event
The Role of PAMM, MAM & Copy Trading in Business Growth Strategies | Webinar
The Role of PAMM, MAM & Copy Trading in Business Growth Strategies | Webinar
The copy trading market is projected to double in size, growing from $2.2 billion to $4 billion by the end of this decade. In light of this, brokers and financial institutions are increasingly adopting PAMM, MAM, and Copy Trading solutions to scale operations and drive profitability. In this insightful webinar, Sergey Ryzhavin, Product Owner at B2COPY, outlines the advanced features of the B2COPY platform, showcasing how it enhances Copy Trading, PAMM, and MAM performance. Sergey also explores strategies for using these tools to attract new clients, improve customer engagement, and create additional revenue streams.
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The copy trading market is projected to double in size, growing from $2.2 billion to $4 billion by the end of this decade. In light of this, brokers and financial institutions are increasingly adopting PAMM, MAM, and Copy Trading solutions to scale operations and drive profitability. In this insightful webinar, Sergey Ryzhavin, Product Owner at B2COPY, outlines the advanced features of the B2COPY platform, showcasing how it enhances Copy Trading, PAMM, and MAM performance. Sergey also explores strategies for using these tools to attract new clients, improve customer engagement, and create additional revenue streams.
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Join us at FMLS:24 to connect with global institutional brokers. Secure your spot today! #fmls24
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