Category Archives: MiFID

Oct29

Treating EU customers fairly

While we have been known to suggest that the EU does not always act as it should, in some areas, whether right or wrong, it has at least the merit of consistency. One such area is its approach to determining …
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Posted in: Brexit, ESMA, EU, FCA, MiFID, Miscellaneous, UCITS
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Sep1

ESMA’s Cunning Plan

Those who have whiled away a covid summer afternoon enjoying ESMA’s note to the European Commission on improvements to AIFMD  ( esma_letter_on_aifmd_review ), will have formed the vaguest suspicion that despite its noises about Wirecard, it is really Woodford that …
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Posted in: AIFMD, Brexit, ESMA, EU, MiFID, UCITS
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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 …
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Posted in: Assessment of Value, Asset Management Market Study, CASS, MAR, MiFID, Senior Managers Regime, UCITS
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