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Results: 1-10 of 1,125

Best Execution: Complying with MiFID 2
  • Dentons
  • European Union
  • March 16 2016

MiFID 2 will bring significant changes to the way in which firms conduct their trading business and the policies and procedures they have in place


MiFID 2: advising clients independence, suitability and appropriateness
  • Dentons
  • European Union
  • September 14 2015

MiFID 1 now seems simplistic in terms of its provisions surrounding advice to clients, although, at the time it was agreed and implemented, it caused


The compliance function under MiFID 2
  • Dentons
  • European Union
  • June 17 2015

Previous articles in our MiFID 2 series have considered the effects of MiFID 2 on dealings with customers, and on transparency. This third article


UK financial sanctions: the regime and the regulator
  • Dentons
  • United Kingdom
  • June 12 2009

Compliance with financial sanctions has made its way up the UK financial regulatory agenda


Outsourcing for asset managers
  • Dentons
  • European Union
  • February 16 2015

It is increasingly difficult for firms easily to check which of the myriad rules on outsourcing in financial services apply to them. Rosali Pretorius


Unfair contract terms: "read and understood" declarations
  • Dentons
  • United Kingdom
  • January 28 2009

Under the Unfair Terms in Consumer Contracts Regulations 1999 (the Regulations), FSA has the power to challenge FSA-regulated firms that are using terms which they view as unfair


Life under dual-regulation: how banks should adapt to the PRA
  • Dentons
  • United Kingdom
  • March 25 2013

The Financial Services Act 2012 (FS Act) received Royal Assent just before Christmas 2012 and will, for the most part, take effect on 1 April 2013


IMA responds to ESMA on MiFID
  • Dentons
  • European Union
  • March 2 2012

IMA has published its responses to ESMA’s consultations on aspects of MiFID


Up next from FCA
  • Dentons
  • United Kingdom
  • May 13 2016

The latest edition of FCA’s Policy Development Update provides information and links to publications issued since the last edition, recent Handbook


Financial Regulatory Developments 12 June -Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • June 12 2015

FCA has fined three members of Lloyds Banking Group a record retail fine of £117 million for failing to treat customers fairly in their handling of