Tag Archives: MiFID
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
May16
Regulation Talks
One of the greatest challenges for anyone responsible for compliance in a sizable business is to maintain a level of interest and focus on regulation and compliance from everyone across the business. The tendency, particularly among front office staff, to …
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Posted in: Miscellaneous
Tagged in: AIFMD, ESMA, EU, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, FSA, MiFID, s166, skilled person, UCITS
Tagged in: AIFMD, ESMA, EU, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, FSA, MiFID, s166, skilled person, UCITS