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The shifting financial advice boundary

United Kingdom - May 23 2017 The UK definition of financial advice is being aligned with that in MiFID. HM Treasury’s response to its consultation on amending the definition was…

Peter Wilson.

MiFID II - telephone recording obligations

United Kingdom - May 23 2017 Telephone recording obligations set out in MiFID II are not without issue and these seemingly incremental changes still require attention. The…

Christopher Ratcliffe.

The FCA's new approach to market abuse reminds business leaders of their obligations

United Kingdom - May 23 2017 Powers to require listed companies to pay redress for an act of market abuse have been used by the FCA for the first time and it estimates Tesco will…

FCA DP17/3 Distributed ledger technology

United Kingdom - May 23 2017 The FCA has issued DP17/3 on distributed ledger technology to stimulate an open debate on the risks and benefits of DLT and asks for comments on its…

Agency, fiduciary duties, and commission disclosures - Pickup the tab on that loan

United Kingdom - May 23 2017 In Commercial First Business Ltd v Pickup & Vernon, the High Court decided that a broker did not owe a borrower a fiduciary duty to disclose the…

Shona Watson.