Category Archives: FCA
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
Sep1
The Best Execution
Despite its protestations to the contrary, the Regulator has said remarkably little on the matter of best execution since the current requirements were introduced through MiFID. Now, with its thematic review (TR 14/13), the FCA has broken cover. You might …
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Posted in: FCA, MiFID
Tagged in: Executions, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, MiFID, s166, skilled person, Themes
Tagged in: Executions, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, MiFID, s166, skilled person, Themes
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