Category Archives: Miscellaneous

Mar9

Umpteen Shades of Grey

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Use of dealing commission – acquisition of research The ability of regulators to cause a stir has never been in doubt. But seldom have they been so electrifying as with the recent developments over Use of Commission. With accusations flying …
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Posted in: ESMA, EU, FCA, MiFID, Miscellaneous
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Dec16

Happy Christmas

Posted by admin

OWL wishes all its clients a very Happy Christmas and a thoroughly compliant New Year

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Jun14

Promotion of Unregulated Collective Investment Schemes

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FCA’s PS13/3: Retail investors unwelcome Whatever our hazy recollections of the good old days, there never was a time when regulators were relaxed about the promotion of unregulated collective investment schemes. Twitchy might be the best description; paranoid might be …
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Posted in: Miscellaneous
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