Category Archives: MiFID

Jan15

The Vintage of 2018

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2018: HNY The relief of passing MiFID Day is palpable. After so long, it is hard to remember life before MiFID II was ‘just round the corner’. Now we have turned the corner and it is behind us. So, what …
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Posted in: Asset Management Market Study, EU, MiFID, Senior Managers Regime, UCITS
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Oct15

Flooded Again

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  Firms overstretched by flood of regulation MiFID II approaches its climax SMCR emerges early as FCA priority Director of Supervision presses for further action   It is often said that regulated firms face many demands. Seldom is that as …
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Posted in: Asset Management Market Study, Best Execution, FCA, MiFID, Senior Managers Regime
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Sep11

MiFID Countdown

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As 3rd January gets closer by nearly 1% each day – and by more than 1% in just a couple of weeks’ time – MiFID II creeps up on us. Many will be satisfied with their readiness but, if FTfm …
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Posted in: FCA, MiFID
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