Category Archives: Senior Managers Regime
Jun13
Four Thoughts
Prioritisation is frequently a bigger challenge than we realise. It is always tempting to see the process of prioritisation as a waste of good doing time. That of course is to under-prioritise the prioritisation process. An error to which most …
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Posted in: Assessment of Value, Asset Management Market Study, Best Execution, FCA, Senior Managers Regime
Tagged in: Assessment of value, asset management market study, Best Execution, Conduct Rules, FCA, Financial Conduct Authority, Independent Directors, Order execution policy, senior managers regime, Staley
Tagged in: Assessment of value, asset management market study, Best Execution, Conduct Rules, FCA, Financial Conduct Authority, Independent Directors, Order execution policy, senior managers regime, Staley
Apr12
Remedies for a Healthy Patient II
Like the links in an apparently never-ending chain, the FCA’s Asset Management Market Study has now produced a Policy Statement (PS 18/8) (PS18/8: Implementing asset management market study remedies and changes to our Handbook – feedback to CP17/18 and final …
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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