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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


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


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


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: 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


Firms receive FCA classifications
  • Dentons
  • United Kingdom
  • March 22 2013

FSA has written to firms explaining: FCA's approach to supervision; the firm's conduct and prudential category; what this means for the firm


Financial Regulatory Developments 2 April - HM Treasury (Treasury)
  • Dentons
  • United Kingdom
  • April 2 2015

Treasury has issued a Memorandum of Understanding (MOU) between BoE, FCA, PSR and PRA as required by the Banking Reform Act. The MoU describes the


ESMA migrates MiFID and Short Selling Regulation registers
  • Dentons
  • European Union
  • February 5 2016

The registers under MiFID and the Short Selling Regulation have been migrated to the global ESMA Registers web portal. The portal now contains links