Tag Archives: FCA
Dec16
Happy Christmas
OWL wishes all its clients a very Happy Christmas and a thoroughly compliant New Year
Posted in: Miscellaneous
Tagged in: Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, s166, skilled person
Tagged in: Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, s166, skilled person
Sep1
The Best Execution
Despite its protestations to the contrary, the Regulator has said remarkably little on the matter of best execution since the current requirements were introduced through MiFID. Now, with its thematic review (TR 14/13), the FCA has broken cover. You might …
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Posted in: FCA, MiFID
Tagged in: Executions, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, MiFID, s166, skilled person, Themes
Tagged in: Executions, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, MiFID, s166, skilled person, Themes
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