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Results: 1-10 of 487

MiFID 2: advising clients independence, suitability and appropriateness
  • Dentons
  • European Union
  • September 14 2015

MiFID 1 now seems simplistic in terms of its provisions surrounding advice to clients, although, at the time it was agreed and implemented, it caused


ICAP one fine too many?
  • Dentons
  • European Union, United Kingdom
  • June 10 2015

On 4 February 2015, the European Commission (Commission) fined cash broker ICAP plc (ICAP) 14.9 million for its involvement in the Japanese Yen


The Securities Financing Transactions Regulation
  • Dentons
  • European Union
  • January 25 2016

The Regulation on Transparency of Securities Financing Transactions and of Reuse (20152365) (the SFTR) is a key part of the EU's initiative to


ESMA updates CRR main indices and recognised exchanges
  • Dentons
  • European Union
  • February 5 2016

ESMA has issued an opinion, which it has sent to the Commission for endorsement, proposing updates to its ITS on main indices and recognised


Red alert: new market abuse rules to apply from 3 July
  • Dentons
  • European Union
  • March 16 2016

The Market Abuse Regulation (MAR) (Regulation (EU) No 5962014) starts applying in all EU Member States from 3 July. It replaces the Market Abuse


Council confirms new supervisory architecture
  • Dentons
  • European Union
  • September 10 2010

Council confirmed the agreement reached with Parliament in the "trialogue" stage of negotiations for the three new European Supervisory Authorities (ESAs) and said it would finalise a consolidated version of the draft Directive on the basis of the agreement


ECOFIN discusses supervisory reform
  • Dentons
  • European Union
  • July 16 2010

The Council announced the meeting of Economics and Finance Ministers on 13 July was due to discuss financial supervisory reform and debate the Belgian presidency's priorities for it


BIS responds on Single Market Act
  • Dentons
  • European Union, United Kingdom
  • March 11 2011

BIS has published the UK Government's response to the Commission's consultation on the Single Market Act


Parliament says financial supervision agreement stalled
  • Dentons
  • European Union
  • July 16 2010

Parliament acknowledged progress made in the Ecofin meeting on financial supervision but there is no agreement yet


BBA responds on MIFID
  • Dentons
  • European Union, United Kingdom
  • February 11 2011

BBA's response to the Commission's consultation on the MiFID Review focuses on:the successes of MiFID, and the need for any amendments to be consistent with its original aims of an effective single market, and properly implemented and enforced rules on investor protection and market conduct;how the proposals in some respects go further than the (then) CESR's advice, and the reasons for this are not always explained