The UK's Financial Services Authority (FSA) is preparing to
publish its guidelines on conflicts of interest in investment
research towards the end of October after consultation with the
financial services industry and the publication of a statement
of principles from International Organisation of Securities
The guidelines will follow FSA's consultation paper on the
subject, CP171, first published in February, about which
Futures and Options Association (FOA) raised a number of
concerns. FOA had expressed concerns regarding the application
of the draft provisions in CP171 to firms producing derivatives
investment research, although it was generally supportive of a
non-proscriptive, guidance-based approach to regulating
potential conflicts of interest.
This article is available exclusively to subscribers
Please log in to continue reading.
Not yet a subscriber?
Click here to take a free trial.
Already have an account? |
Please fill in your details below and a customer service representative will contact you.