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Results: 1-10 of 491

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


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


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


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


Judgments - so far this year
  • Dentons
  • European Union, United Kingdom
  • June 17 2015

This was a judgment of the European Court of Justice (ECJ). Mr Kolassa, who is domiciled in Austria, invested in certificates issued by Barclays in


EP votes for Benchmarks Regulation
  • Dentons
  • European Union
  • May 6 2016

EP has voted in favour of the Benchmarks Regulation. The Regulation aims to prevent conflicts of interest from arising and resulting in benchmark


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 asks COREPER to agree PSD2
  • Dentons
  • European Union
  • November 13 2015

The Council has published a note from the General Secretariat to the Permanent Representatives Committee (COREPER) relating to the revised Payment


Commission publishes NBFI crisis management roadmap
  • Dentons
  • European Union
  • May 10 2013

The Commission has published a roadmap looking at proposals for crisis management and resolution for NBFI. It looks at the aim of allowing these