Tag Archives: FCA

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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Mar4

Proportionality in the Remuneration Code

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For those who have not already seen the FCA announcement ( Statement on EBA guidelines on remuneration policies for public consultation – Financial Conduct Authority ) there is a growing problem associated with the FCA’s application of proportionality to the …
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Posted in: EU, FCA, MiFID, Remuneration Code
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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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