Category Archives: MiFID
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
Tagged in: ABC, AML, Assessment of value, asset management market study, Bribery, CASS, Client money, FCA, Governance, Independent Directors, Liquidity, MAR, market abuse, MiFID, Operational resilience, opting-up, senior managers regime, SMCR, UCITS
Tagged in: ABC, AML, Assessment of value, asset management market study, Bribery, CASS, Client money, FCA, Governance, Independent Directors, Liquidity, MAR, market abuse, MiFID, Operational resilience, opting-up, senior managers regime, SMCR, UCITS
Jan2
Happy New Decade
At the beginning will be Brexit. At the end will be Brexit. And in between it will mainly be Brexit. I hope that those remarks relate to 2020, not to the whole decade, but I am probably wrong. There will …
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Posted in: Assessment of Value, Asset Management Market Study, Brexit, EU, FCA, MiFID, Senior Managers Regime, UCITS
Tagged in: Acquisition of research, Assessment of value, asset management market study, BREXIT, Engagement Policy, EU, FCA, FIIA, Independent Directors, investment research, Liquidity, MiFID, NURS, Passport, senior managers regime, SMCR, SRD II, UCITS, Woodford
Tagged in: Acquisition of research, Assessment of value, asset management market study, BREXIT, Engagement Policy, EU, FCA, FIIA, Independent Directors, investment research, Liquidity, MiFID, NURS, Passport, senior managers regime, SMCR, SRD II, UCITS, Woodford
Jan15
The Vintage of 2018
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
Tagged in: asset management market study, BREXIT, EU, FCA, MiFID, MiFID II, senior managers regime, UCITS, Value for Money Assessment
Tagged in: asset management market study, BREXIT, EU, FCA, MiFID, MiFID II, senior managers regime, UCITS, Value for Money Assessment