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Category Archives: MiFID
May10
Best Execution – Again
It would not be entirely fair to accuse the Regulator of banging-on endlessly about best execution. Until the publication of the Thematic Review in 2014 (TR 14/13), it had said nothing about it for years. And there was precious little …
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Posted in: Best Execution, Competition, ESMA, FCA, MiFID
Tagged in: Best Execution, competition, ESMA, FCA visit, MiFID
Tagged in: Best Execution, competition, ESMA, FCA visit, MiFID
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