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Financial Regulatory Developments 3 July - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • July 3 2015

FCA has published the notes from a round table it held on UK implementation of the second Markets in Financial Instruments Directive (MiFID 2), where


Financial Regulatory Developments 3 July - Presidency of the Council of the EU (Presidency)
  • Dentons
  • European Union, Luxembourg
  • July 3 2015

Luxembourg has taken over the Presidency, and its focus in the next six months will include Capital Markets Union and banking structural reform


Financial Regulatory Developments 3 July - European Securities and Markets Authority (ESMA)
  • Dentons
  • European Union
  • July 3 2015

ESMA has published the first set of Regulatory and Implementing Technical Standards (RTS and ITS) due under the MiFID 2 packages (revised Markets in


MiFID 2RTS: authorisation and passporting
  • Dentons
  • European Union
  • July 1 2015

The MiFID 2 package takes effect (with a few exceptions) from 3 January 2017. We still await key technical measures. Following ESMA's discussion


Financial Regulatory Developments 26 June - Financial Ombudsman Service (FOS)
  • Dentons
  • United Kingdom
  • June 26 2015

The June edition of "Ombudsman News" contains an interview with Garry Wilkinson, principal ombudsman and director of new services at FOS on the


Financial Regulatory Developments 19 June - European Securities and Markets Authority (ESMA)
  • Dentons
  • European Union
  • June 19 2015

ESMA published its 2014 annual report and announced its new strategy for 2016-20. The annual report outlines ESMA's achievements for the past year in


Financial Regulatory Developments 19 June - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • June 19 2015

FCA's latest policy development update promises, by the end of the summer: a policy statement on fees; a consultation paper on fair, reasonable and


Financial Regulatory Developments 19 June - International Organisation of Securities Commissions (IOSCO)
  • Dentons
  • Global
  • June 19 2015

IOSCO has published a report titled "Credible Deterrence", which identifies key enforcement factors that may deter misconduct in international


The compliance function under MiFID 2
  • Dentons
  • European Union
  • June 17 2015

Previous articles in our MiFID 2 series have considered the effects of MiFID 2 on dealings with customers, and on transparency. This third article


Financial Regulatory Developments 12 June - European Banking Authority (EBA)
  • Dentons
  • European Union
  • June 12 2015

EBA has published an update to its Risk Dashboard showing the main risks and vulnerabilities in the EU banking sector in Q4 2014. The dashboard shows