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Results: 1-10 of 498

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


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


Treasury corrects MCD Orders
  • Dentons
  • European Union, United Kingdom
  • November 13 2015

Treasury has made the FSMA (Regulated Activities) (Amendment) (No. 3) Order 2015. It amends the FSMA (Regulated Activities) Order 2001 to clarify the


2015: The calm before another storm
  • Dentons
  • European Union, United Kingdom
  • February 23 2016

In last year's regulatory update, Emma Radmore looked at several key changes which had either already taken place in the UK, or were on the horizon


Further CRREMIR transitional period extension published in the OJEU
  • Dentons
  • European Union
  • December 23 2015

The Implementing Regulation on the extension of the transitional periods related to own funds requirements for exposures to CCPs under the CRR and


MiFID 2: FCA Publishes MiFID 2 Markets Consultation
  • Dentons
  • European Union, United Kingdom
  • December 16 2015

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


Financial Regulatory Developments 28 February - European Court of Justice (ECJ)
  • Dentons
  • European Union, United Kingdom
  • February 28 2014

Details of an action brought against the EU by the UK in September 2013 to annul certain provisions of the fourth Capital Requirements Directive (CRD


Financial Regulatory Developments 6 March - European Central Bank (ECB)
  • Dentons
  • European Union
  • March 6 2015

In its third Eurosystem Oversight Report ECB reviews the oversight activities that the Eurosystem performed in the period from 2011 to mid-2014. The