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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


Financial Regulatory Developments 31 July - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • July 31 2015

FCA has made new rules: extending the "next business day rule", that allows firms to handle complaints less formally, without sending a final


MiFID 2: ESMA publishes first technical advice
  • Dentons
  • European Union
  • December 23 2014

The European Securities and Markets Authority (ESMA) published the follow-up papers to its summer consultations on the revised Markets in Financial


Third-country AIFMs: ESMA says slow down
  • Dentons
  • European Union, Global
  • August 3 2015

The Alternative Investment Fund Managers Directive (AIFMD) required ESMA to review, by July 2015, how the arrangements under AIFMD for marketing AIFs


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


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


Financial Regulatory Developments 13 March - UK Financial Services and Markets Regulators
  • Dentons
  • United Kingdom
  • March 13 2015

FCA has published a thematic review and supporting papers that show consumers do not understand structured products. FCA carried out research that


AIMA comments on AIFMD implementation
  • Dentons
  • European Union
  • March 8 2013

AIMA's response to Treasury's consultation on implementation of the Alternative Investment Fund Managers Directive (AIFMD) welcomes most of


FCA makes new rules
  • Dentons
  • United Kingdom
  • August 2 2013

FCA has made changes to the Handbook with the following instruments: the Listing Rules (Alternative Investment Fund Managers Directive) (AIFMD


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