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Results: 1-10 of 507

What can we learn from the first half of 2017?
  • Dentons
  • European Union, United Kingdom
  • July 6 2017

Whilst a number of cases in the first six months of 2017 dealt with issues of particular interest to litigators (e.g. LBI EHF v. Raiffeisen on default


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


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


MiFID II - EU access for non-EU portfolio managers
  • Dentons
  • European Union, Germany
  • July 5 2017

As of 3 January 2018, the Markets in Financial Instruments Directive II (MiFID II) will significantly amend the way forward for non-EU firms (third


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


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


Financial Regulatory Developments 20 June - European Securities and Markets Authority (ESMA)
  • Dentons
  • European Union
  • June 20 2014

ESMA and EBA have published harmonised guidelines for consumer complaints handling, with the aim of ensuring consistent and streamlined procedures


A level playing field but not between Directives?
  • Dentons
  • European Union
  • January 7 2009

For many years, financial sector firms and their advisers have sometimes struggled when different regulatory treatment applies to different activities


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 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