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Commission presents MiFID 2 and MiFIR
  • Dentons
  • European Union
  • October 21 2011

The Commission presented its proposals for the revision of MiFID (MiFID 2) on 20 October.

ESMA publishes platforms systems responses
  • Dentons
  • European Union
  • October 14 2011

ESMA has published the responses it received to its consultation on guidelines on systems and controls in a highly automated trading environment for trading platforms, investment firms and competent authorities.

FSA fines and bans for misleading UCIS sales
  • Dentons
  • United Kingdom
  • January 21 2011

FSA has fined and banned two partners in an investment firm for failing to ensure its advisers made suitable recommendations to customers when selling unregulated collective investment schemes (UCIS).