Category Archives: MiFID

May4

Hardly Diverging

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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
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Oct29

Treating EU customers fairly

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While we have been known to suggest that the EU does not always act as it should, in some areas, whether right or wrong, it has at least the merit of consistency. One such area is its approach to determining …
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Posted in: Brexit, ESMA, EU, FCA, MiFID, Miscellaneous, UCITS
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Sep1

ESMA’s Cunning Plan

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Those who have whiled away a covid summer afternoon enjoying ESMA’s note to the European Commission on improvements to AIFMD  ( esma_letter_on_aifmd_review ), will have formed the vaguest suspicion that despite its noises about Wirecard, it is really Woodford that …
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Posted in: AIFMD, Brexit, ESMA, EU, MiFID, UCITS
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