Category Archives: FCA
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
Oct18
To Pay or Not To Pay – We Research the Question
No one can claim any surprise at FCA’s consultation draft of its rules on Inducements and Research (CP 16/29). The policy has been chewed over for years and now it is down to the detail. We are within spitting distance …
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Posted in: EU, FCA, MiFID
Tagged in: CP16/29, EU, FCA, inducement, MiFID, Research, Research Payment Account
Tagged in: CP16/29, EU, FCA, inducement, MiFID, Research, Research Payment Account