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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


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


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


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


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


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


FSA speaks on transaction monitoring
  • Dentons
  • United Kingdom
  • February 8 2013

Patrick Spens, head of Market Monitoring at FSA, has addressed firms on their transaction monitoring obligations. In December FSA sent a letter to


FCA and FRC sign MoU
  • Dentons
  • United Kingdom
  • April 19 2013

FCA and FRC have entered into a memorandum of understanding (MoU) setting out their respective statutory regulatory responsibilities and the


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