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Senior managers and Certification Regime will apply to all financial services firms

United Kingdom - October 21 2015 HM Treasury has announced plans to extend the Senior Managers' and Certification Regime (established in the wake of the financial crisis…

Paul Callaghan, Tim Strong.

MiFID II: organisational measures

European Union, United Kingdom - June 29 2015 To the extent that they have not done so already, firms should look to start working on implementation. A useful starting point is the consideration…

Caroline Bystrom.

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.

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.

Conflicts of interest: Aviva, MiFID II and beyond

United Kingdom - March 6 2015 On 24 February 2015 the FCA announced it had fined Aviva Investors Global Services Limited £17,607,000 for failing to manage conflicts of interest…

Talia Carman.