December 2024 M T W T F S S 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 - Subscribe to our News page
Category Archives: MiFID
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 …
Click here to read the rest of this entry
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
Apr14
FCA’s Inter-Regnum Plan
The Regulator’s rather unexciting Plan has all the appearance of a document produced under orders to ‘say nothing new’. With a caretaker CEO, that is, no doubt, what we should expect. Having made that point, to what extent does the …
Click here to read the rest of this entry
Posted in: FCA, MAR, MiFID, Remuneration Code
Tagged in: Asset Management, Business Plan, FCA, MAR, MiFID, Remuneration Code
Tagged in: Asset Management, Business Plan, FCA, MAR, MiFID, Remuneration Code
Feb16
Use of European Commission
Two months on from the European Commission’s announcement that MiFID II would have to be delayed, we have now had a further announcement from the European Commission that MiFID II will have to be delayed. Even the process of delay …
Click here to read the rest of this entry