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Results: 1-10 of 1,125

Life under dual-regulation: how banks should adapt to the PRA
  • Dentons
  • United Kingdom
  • March 25 2013

The Financial Services Act 2012 (FS Act) received Royal Assent just before Christmas 2012 and will, for the most part, take effect on 1 April 2013


Best Execution: Complying with MiFID 2
  • Dentons
  • European Union
  • March 16 2016

MiFID 2 will bring significant changes to the way in which firms conduct their trading business and the policies and procedures they have in place


NCA publishes SARs Annual Report 2015
  • Dentons
  • United Kingdom
  • March 18 2016

NCA has published its Suspicious Activity Reports (SARs) Annual Report 2015. The report covers the first year of the UK Financial Intelligence Unit


UK financial sanctions: the regime and the regulator
  • Dentons
  • United Kingdom
  • June 12 2009

Compliance with financial sanctions has made its way up the UK financial regulatory agenda


EP updates on MiFID 2 dates
  • Dentons
  • European Union
  • April 15 2016

EP's Committee on Economic and Monetary Affairs (ECON) has voted to adopt draft reports on the proposed Directive amending the revised Markets in


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


MiFID 2: ESMA's second set of RTS
  • Dentons
  • European Union
  • September 29 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


MiFID 2: third-country firms
  • Dentons
  • European Union
  • July 7 2015

The revised Markets in Financial Instruments Directive (MiFID 2) and Regulation (MiFIR) will mean changes not only for EU based firms but also for


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


PRIPs and the RDR the future for retail products?
  • Dentons
  • United Kingdom
  • May 9 2011

It is practically impossible to keep track of all the initiatives coming from Brussels, Canary Wharf and beyond that will affect the retail markets