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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


MiFID 2: Changes to Client Assets Requirements
  • Dentons
  • European Union, United Kingdom
  • February 23 2016

Previous articles in our MiFID 2 series have considered the effects of MiFID 2 on, among other things, dealings with customers, advice, transparency


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


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


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


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


FCA Publishes MiFID 2 Markets Consultation
  • Dentons
  • European Union, United Kingdom
  • December 15 2015

Despite the continuing absence of the Commission's Level 2 legislation implementing the revised Markets in Financial Instruments Directive and


Council publishes MMF Regulation compromise
  • Dentons
  • European Union
  • May 20 2016

The General Secretariat of the Council has published the latest Presidency Compromise text of the Money Market Funds (MMF) Regulation. Many of the


LCR corrigendum published in OJEU
  • Dentons
  • European Union
  • April 15 2016

A Corrigendum to amend implementing technical standards (ITS) under the capital requirements regime on the supervisory reporting of institutions of


Financial Regulatory Developments 25 July - Financial Stability Board (FSB)
  • Dentons
  • European Union
  • July 25 2014

FSB has published the results of its review of major interest rate benchmarks and plans for reform, and a paper by the International Organization of