by Emma Cleveland | 2014-10-28 | Our Thinking
Find everything you need to know about the new dealing commission rules and the impact on your commission sharing agreements in our attached Glance Card. It also offers insight into potential changes in the future in light of the FCA’s recently released...
by Emma Cleveland | 2014-10-21 | Our Thinking
On 1 October 2014 the European Securities and Markets Authority (ESMA) published its Work Programme for the upcoming year. In it ESMA has set out four operational objectives: supervision, the single rulebook, convergence, and risk monitoring analysis.For an overview...
by Emma Cleveland | 2014-10-07 | Industry News
In a response to the Treasury Select Committee’s inquiry on SMEs, Sean Martin, General Counsel of the FCA, has issued a letter to Andrew Tyrie, published on 19 September 2014, in which he has explained the legal opinions used by the FCA in their decision to treat...
by Emma Cleveland | 2014-10-07 | Industry News
In a letter to Andrew Tyrie dated 19 September 2014, the FCA’s CEO, Martin Wheatley, has expressed the regulator’s concern with high-frequency trading (“HFT”) and dark pools. Mr Wheathley has confirmed that the FCA is looking to implement provisions in the new MiFID...
by Emma Cleveland | 2014-10-07 | Industry News
In his speech at the FCA MiFID II Conference on 18 September 2014, David Lawton addressed a number of key areas where the new directive will seek to achieve a balance between regulation and effectiveness. The FCA Director of Markets explained that although agreement...
