In focus

Contracts for difference

Find out about our expectations of providers and brokers of retail contract for difference products, which include spread betting and rolling spot foreign exchange.

Oversight of best execution

Investment managers still failing to ensure effective oversight of best execution.

Use of dealing commission

Firms continue to fail to meet our expectations on their use of dealing commission.

Meeting investors’ expectations

We report the findings of our thematic review that considered how firms ensure they manage funds and segregated mandates as they say they will. We also considered how firms monitor the appropriate distribution of their funds.

TR16/3: Meeting investors’ expectations

EBA review of the prudential framework for MiFID investment firms

On 17 January, we hosted an event to talk through the recent EBA discussion paper and explain the thinking behind the proposals and give firms the opportunity to ask questions.

Watch a recording of the event (registration required).