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ARTICLE · 30 JULY 2024

Paying For Buy-Side Investment Research: New Rules Ease The US-UK Divide

Goodwin Procter LLP
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In our previous alert, Paying for Buy-Side Investment Research: Will the FCA's Third Way Ease the US-UK Divide? | Insights & Resources | Goodwin (goodwinlaw.com)...

GlobalStrategy
Andrew Henderson
Andrew Henderson
Nicholas J. Losurdo
Nicholas J. Losurdo
Glynn Barwick
Glynn Barwick

In our previous alert, Paying for Buy-Side Investment Research: Will the FCA's Third Way Ease the US-UK Divide? | Insights & Resources | Goodwin (goodwinlaw.com), we discussed the consultation issued by the Financial Conduct Authority (FCA) on proposed rules on payment optionality for investment research. This had followed the UK Investment Research Review, which contained a key recommendation that the FCA to amend its rules on research unbundling to allow FCA-authorised investment managers more flexibility in how they pay for research.

On 25th July, the FCA published its final rules as part of its policy paper PS24/9: Payment optionality for investment research (fca.org.uk) (PS24/9). The FCA's aim is to implement the new rules by 1st August 2024. As the FCA is introducing an optional form of payment for research, it will be for investment managers to determine both whether and when they wish to use the rules from then. The FCA announced FCA sets out rules and

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