Category Archives: MiFID

Oct15

Flooded Again

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  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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Posted in: Asset Management Market Study, Best Execution, FCA, MiFID, Senior Managers Regime
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Sep11

MiFID Countdown

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As 3rd January gets closer by nearly 1% each day – and by more than 1% in just a couple of weeks’ time – MiFID II creeps up on us. Many will be satisfied with their readiness but, if FTfm …
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Posted in: FCA, MiFID
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Jun15

Inflaming June

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As temperatures soar around the country and June looks as though it might at last live up to its reputation, the investment industry waits with bated breath for two documents that will be key to life in 2018. As all …
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Posted in: FCA, MiFID, Senior Managers Regime
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