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Results: 1-7 of 7

MiFID IIMiFIR Q&A Updates Concerning Best Execution and Client Categorization
  • Katten Muchin Rosenman LLP
  • USA
  • June 1 2018

On May 25, the European Securities and Markets Authority (ESMA) updated its questions and answers on the revised Markets in Financial Instruments


Legal Entity Identifier Regulatory Oversight Committee Issues Second Progress Report
  • Katten Muchin Rosenman LLP
  • USA
  • May 18 2018

On May 2, the Legal Entity Identifier Regulatory Oversight Committee (LEI ROC) published its second progress report, which included an overview of the


SEC Issues Important Interpretive Guidance on Implications of “Unbundling” the Costs of Investment Research from the Costs of Trade Execution, Mandated by EU Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • November 2 2017

On October 26, the Securities and Exchange Commission (SEC) issued three long-awaited letters clarifying how regulatory requirements in the European


ESMA Publishes Additional Guidance on Direct Electronic Access
  • Katten Muchin Rosenman LLP
  • USA
  • October 6 2017

On October 3, the European Securities and Markets Authority (ESMA) updated its questions and answers on market structures topics (Q&A) under the


MiFID II Direct Electronic Access Template Questionnaire Published
  • Katten Muchin Rosenman LLP
  • USA
  • September 15 2017

The revised Markets in Financial Instruments Directive (MiFID II) imposes a new regulatory and compliance regime on providers of direct electronic



Neil Robson
  • Katten Muchin Rosenman LLP