...Azish Filabi; Sophia Duffy; Steve Parrish Purpose This paper, an analytical one, aims to address how regulations in the USA designed to protect investors against conflicts of interest fall short of addressing risks from technologies used in retail investor-facing financial services. Current...

... through potential individual execution venues, and execution specific disclosures of conflicts of interest. Firms will also be obliged to review at least annually their execution arrangements and make changes if in the interests of their customers, and the FSA proposes rigorous transaction monitoring...