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Category Archives: Best Execution
May4
Hardly Diverging
Almost at the very end of the fourth month after our final separation from EU legislation, the FCA published its first proposals for going it alone. CP21/9 sets out its grandly entitled Changes to MiFID’s Conduct and Organisational Requirements. But …
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Posted in: Best Execution, Brexit, Competition, EU, FCA, MiFID
Tagged in: Best Execution, BREXIT, competition, Divergence, EU, FCA, MiFID, MiFID II, Research
Tagged in: Best Execution, BREXIT, competition, Divergence, EU, FCA, MiFID, MiFID II, Research
Jun13
Four Thoughts
Prioritisation is frequently a bigger challenge than we realise. It is always tempting to see the process of prioritisation as a waste of good doing time. That of course is to under-prioritise the prioritisation process. An error to which most …
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Posted in: Assessment of Value, Asset Management Market Study, Best Execution, FCA, Senior Managers Regime
Tagged in: Assessment of value, asset management market study, Best Execution, Conduct Rules, FCA, Financial Conduct Authority, Independent Directors, Order execution policy, senior managers regime, Staley
Tagged in: Assessment of value, asset management market study, Best Execution, Conduct Rules, FCA, Financial Conduct Authority, Independent Directors, Order execution policy, senior managers regime, Staley
Oct15
Flooded Again
Firms overstretched by flood of regulation MiFID II approaches its climax SMCR emerges early as FCA priority Director of Supervision presses for further action It is often said that regulated firms face many demands. Seldom is that as …
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