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Category Archives: CASS
Jan2
A Blissful New Year
Judging from the financial press, you might suppose that this was the year of MiFID II. However, there is the small matter of a general election in the wings, insignificant as that should of course be regarded in these euro-days. …
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Posted in: CASS, ESMA, EU, FCA, MiFID, UCITS
Tagged in: Best Execution, CASS, ESMA, EU, Expert Wtiness, FCA, Financial Conduct Authority, MiFID, UCITS
Tagged in: Best Execution, CASS, ESMA, EU, Expert Wtiness, FCA, Financial Conduct Authority, MiFID, UCITS
Jun19
FCA’s Review of Client Assets Regime for Investment Business CP 13/5 and PS 14/9
With the CASS Policy Statement now published the industry is turning its attention to the practicalities of implementation. Alongside our note on FCA’s decisions as set out in the PS, we are providing support to firms that are starting to …
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Posted in: CASS, FCA
Tagged in: CASS, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, policy statement, PS14/9, s166, skilled person
Tagged in: CASS, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, policy statement, PS14/9, s166, skilled person
May9
CASS: Anticipation of another Policy Statement
Despite the elapse of nine months since the publication of the bulky CASS consultation paper (CP13/5), memories of the FCA’s proposals may not have faded totally. That is just as well, given that the Policy Statement is now imminent and …
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Posted in: CASS, FCA
Tagged in: CASS, Consultation, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, s166, skilled person
Tagged in: CASS, Consultation, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, s166, skilled person