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Inducements under MiFID II

United Kingdom - April 17 2015 For portfolio management firms and independent advisers, MiFID II is a significant departure from MiFID I standards on the types and size of…

Talia Carman.

Best execution: what's changing under MiFID II?

European Union - February 24 2015 The overarching "best execution" obligation under both MiFID and MiFID II requires firms to take all reasonable steps to obtain the best possible…

Caroline Bystrom, Talia Carman.

The new client assets regime (PS 14/9)

United Kingdom - July 16 2014 The FCA issued its Policy Statement on client assets in June 2014. > Click here to view the FCA issued PS 14/9: Review of the client assets regime…

Talia Carman, Christopher Ratcliffe, Jonathan Rogers, Peter Wilson.

Moving to a culture of individual accountability and doing the right thing

United Kingdom - August 21 2014 Regulators are posing complex and challenging questions to firms and their individuals. Recent developments on senior management responsibility and…

Caroline Bystrom, Simon Gorham, Sean Nesbitt, Jonathan Rogers, Peter Wilson.

MiFID II – knowledge and competence

European Union - June 24 2015 The European Securities and Markets Authority (ESMA) has issued a consultation paper on its draft MiFID II guidelines setting out ambitious skills…

Caroline Bystrom, Rachel Farr.