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Results: 1-10 of 1,125

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


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


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


The EU's MiFID 2: communicating with clients
  • Dentons
  • European Union
  • February 16 2015

The EU’s Markets in Financial Instruments Directive reform package, comprising a new Markets in Financial Instruments Directive and a new Markets in


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


Outsourcing for asset managers
  • Dentons
  • European Union
  • February 16 2015

It is increasingly difficult for firms easily to check which of the myriad rules on outsourcing in financial services apply to them. Rosali Pretorius


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


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


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


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