Josie Day
Dentons
Articles
Commission presents MiFID 2 and MiFIR
European Union - October 21 2011 The Commission presented its proposals for the revision of MiFID (MiFID 2) on 20 October.
FSA acts against unauthorised deposit-taker
United Kingdom - February 24 2012 FSA has obtained an interim injunction at the High Court against Stuart Carl Mudge and Anthony John Lewis relating to the Churchgate Trading Syndicate (Churchgate).
Financial Regulatory Developments 6 February - Financial Conduct Authority (FCA)
United Kingdom - February 6 2015 FCA has confirmed the final rules requiring firms to set up and maintain independent governance committees (IGCs). IGCs will represent the interests…
Financial Regulatory Developments 18 July - Financial Conduct Authority (FCA)
United Kingdom - July 18 2014 FCA has published a review of how firms use dealing commission. It found too few firms properly consider the added value and cost of research paid…
More confusion on client money: the latest on Lehman
United Kingdom - March 13 2012 The United Kingdom Supreme Court recently decided the appeal in the important case In the Matter of Lehman Brothers International (Europe) (LBIE) (In Administration) and In the matter of the Insolvency Act 1986 [2012] UK (the Case).
