Tag Archives: ESMA
Mar9
Umpteen Shades of Grey
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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Jan2
A Blissful New Year
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
Tagged in: Best Execution, CASS, ESMA, EU, Expert Wtiness, FCA, Financial Conduct Authority, MiFID, UCITS
Tagged in: Best Execution, CASS, ESMA, EU, Expert Wtiness, FCA, Financial Conduct Authority, MiFID, UCITS
Aug11
FCA Thinks aloud
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
Tagged in: AIFMD, ESMA, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, MiFID, s166, skilled person
Tagged in: AIFMD, ESMA, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, MiFID, s166, skilled person