MiFID II

FCA Review: Suitability

Of Relevance to: Firms providing personal recommendations to retail customers The FCA seems happy with the outcome of a review of suitability it undertook last year which captured 1,142 individual […] [...]

Securities Financing Transactions Regulation: Disclosure Obligation

Of Relevance to: Firms concluding Securities Financing Transactions Securities Financing Transactions Regulation: Disclosure Obligation A reminder that, as advised in Regulatory Roundup 72, the ‘risks and consequences’ disclosure obligation arising […] [...]

MiFID II Delayed

Of Relevance To Current MiFID firms and those entities falling under the MiFID II regime. MiFID II Delayed The implementation date of the MiFID II framework (both the Directive and […] [...]

Guidelines on Cross-Selling

Under MiFID II, Article 24(11), when an investment service is offered with another service or product as part of a package or as a condition for the same agreement, the […] [...]

Knowledge and Competence

Under Article 25(1) of MiFID 2 (2014/65) firms will be required to ensure (and to demonstrate to competent authorities on request) that persons giving investment advice or information about financial […] [...]

MiFID II Wobble

With just over a year to 3 January 2017 Steven Maijoor, the Chair of ESMA, delivered an update on ESMA work in relation to MiFID II to the Economic and […] [...]

Investment and Corporate Banking Study

In July 2014 the FCA launched its wholesale sector competition review with a call for inputs – see Regulatory Roundup 57 for further details. The review of feedback ended in […] [...]

Training and Competence for MiFID Firms

Generally the FCA’s Training and Competence (‘TC’) rules only apply to FCA authorised firms where certain activities (as listed in TC App 1.1) are carried on for retail persons. The […] [...]

Use of Dealing Commission

Back in July of last year the FCA released a Discussion Paper (DP14/3) on the use of dealing commission regime – see Regulatory Roundup 57.The paper included findings from thematic […] [...]

ESMA had a busy period in the run up to Christmas with the publication of both its 645 page MiFID II Consultation Paper (2014/1570) on 19 December (together with a […] [...]

MiFID II

Back in November 2011, Regulatory Roundup 36 contained an article on the long-awaited draft for a revised MiFID (MiFID II). Around two and a half years later we have now […] [...]

MiFID II Progress

Regulatory Roundup 36 contained an article on the publication by the EU Commission of a draft for a revised MiFID – a link to the draft can be found within […] [...]

Tag: MiFID II

FCA Review: Suitability

Securities Financing Transactions Regulation: Disclosure Obligation

MiFID II Delayed

Guidelines on Cross-Selling

Knowledge and Competence

MiFID II Wobble

Investment and Corporate Banking Study

Training and Competence for MiFID Firms

Use of Dealing Commission

MiFID II

MiFID II

MiFID II Progress

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