UK FCA Restricts Certain Annex 1 Firms Following Concerns Over Anti-money Laundering Controls
Friday, October 30, 2026 · first reported by A&O Shearman via JD Supra
Registered investment advisers could earn performance-based pay tied to capital gains or capital appreciation in more situations under a proposal from the SEC. The Commission put forward the amendments on September 30, 2026. They revise Rule 205-3, which sits within the Investment Advisers Act of 1940.
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- A&O Shearman
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- UK Financial Conduct Authority
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- Europe
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Coverage
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