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In a welcome change in approach to financial market regulation, the United Kingdom’s Financial Conduct Authority (FCA) is requiring market participants to deliver good outcomes for...
United Kingdom Financial Conduct Authority is requiring market participants to deliver good outcomes for consumers. FCA announced final rules and guidance for new Consumer Duty applicable to financial services firms providing goods and services to retail consumers.
On May 25, the US Securities and Exchange Commission (SEC) proposed amendments to enhance and modernize Section 35(d) of the Investment Company Act, known as the “Names Rule,” to...