Tag Archives: ESMA

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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Jan2

A Blissful New Year

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Judging from the financial press, you might suppose that this was the year of MiFID II. However, there is the small matter of a general election in the wings, insignificant as that should of course be regarded in these euro-days. …
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Posted in: CASS, ESMA, EU, FCA, MiFID, UCITS
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Aug11

FCA Thinks aloud

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In setting out its radical views on the use of dealing commission, FCA is posing a significant challenge to the investment industry, both buy and sell sides. The answer to the obvious question about why FCA is going in so …
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Posted in: AIFMD, MiFID
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