Allspring Global Investments, LLC
RTS 28 and Article 65(6) Disclosure
Allspring Global Investments, LLC (“Allspring Investments”) is a registered investment adviser with the Securities and Exchange Commission (“SEC”) in the US and is neither a UK Financial Conduct Authority (“FCA”) regulated or Markets in Financial Instruments Directive (“MiFID”) entity but it is obligated by contract to manage certain client accounts in accordance with MiFID II regulations and has previously reported RTS 28 and Article 65(6) disclosures in relation to portfolio management and trading for in-scope FCA regulated client accounts. This data does not apply to any of Allspring Investment’s other managed accounts.
As of 1 December 2021, following reforms by the Financial Conduct Authority (“FCA”) to the UK MiFID’s conduct and organisational requirements, UK investment firms are no longer obligated to produce an annual report setting out the top 5 venues and brokers used for executing client orders and a summary of the execution outcomes achieved (RTS 28 and Article 65(6) disclosures).
Historic analysis and reporting data for the previous years in respect of Allspring Investments’s RTS 28 and Article 65(6) disclosures, can be found using the links on this page. No future RTS 28 and Article 65(6) disclosures will be reported under the Allspring Global Investments, LLC legal entity name.