Category Archives: MAR

Feb20

FCA Reviews

As FCA reveals its supervision plans, firms need to pre-empt No one can say they did not know it was coming. The FCA is getting ever more explicit about its immediate concerns and supervision plans. As we noted at New …
Click here to read the rest of this entry

Posted in: Assessment of Value, Asset Management Market Study, CASS, MAR, MiFID, Senior Managers Regime, UCITS
Tagged in: , , , , , , , , , , , , , , , , , ,
Apr14

FCA’s Inter-Regnum Plan

The Regulator’s rather unexciting Plan has all the appearance of a document produced under orders to ‘say nothing new’. With a caretaker CEO, that is, no doubt, what we should expect. Having made that point, to what extent does the …
Click here to read the rest of this entry

Posted in: FCA, MAR, MiFID, Remuneration Code
Tagged in: , , , , ,
Feb9

ESMA clouds MAR with Guidelines

As the forthcoming EU Market Abuse Regulation creeps up on us, we now have a further dollop of related regulation, this time in the form of draft ‘Guidelines’ from ESMA (Draft guidelines on the Market Abuse Regulation, ESMA/2016/162). We aren’t …
Click here to read the rest of this entry

Posted in: ESMA, EU, MAR
Tagged in: , , , ,