Author Archives: admin
Mar6
Court Ruling Against Investment Firm
Although apparently devoid of any press coverage, the Chancery Division of the High Court in February delivered a judgment which will be of considerable interest to many regulated investment firms. The case in question was Singularis Holdings Limited (in official …
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Posted in: Miscellaneous
Tagged in: Daiwa, Expert Witness, Financial Crime, Fraud, Money Laundering, Singularis
Tagged in: Daiwa, Expert Witness, Financial Crime, Fraud, Money Laundering, Singularis
Jan5
Looking Forward To It
Every New Year offers much to look forward to and 2017 is no exception. Some may look forward to it with relish, some with reservations and some with trepidation. For all, this time, it should be an exciting ride. The …
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Posted in: Competition, EU, FCA, MiFID
Tagged in: asset management market study, BREXIT, competition, Equivalence, EU, FCA, MiFID, Passport, Research Payment Account, RPA
Tagged in: asset management market study, BREXIT, competition, Equivalence, EU, FCA, MiFID, Passport, Research Payment Account, RPA
Oct31
Consultant reveals third way to pay for MiFID investment research
Published 31-Oct-2016 by Ashley Kovas, Regulatory Intelligence, Thomson Reuters The Markets in Financial Instruments Directive (MiFID) II’s regime for the funding of investment research by investment firms has proved controversial. It is however important to consider the full range of …
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Posted in: EU, FCA, MiFID, Miscellaneous
Tagged in: CP16/29, EU, FCA, inducement, MiFID, Research, Research Payment Account
Tagged in: CP16/29, EU, FCA, inducement, MiFID, Research, Research Payment Account