180 Results
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#5 MiFID Briefing series
01 Apr 2015 The MiFID II Review - HMT Consultation on MiFID II
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#8 MiFID briefing series
01 Apr 2016 MiFID II Review
Product governance MiFID II contains important product governance requirements aimed at making all MiFID "products" subject to a similar regime to that applying at the moment to complex products being distributed to retail investors (such as retail structured products).
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financial regulation briefing
03 Feb 2017 MiFID II Series #14 – SMSG advice in response to ESMA's CP on MiFID II product governance
On 17 January 2017, the securities and markets stakeholder group (SMSG) published a paper which it had submitted to ESMA in December 2016 providing its comments on ESMA's consultation paper on proposed guidelines for MiFID II product governance requirements (the Guidelines).
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Financial regulation briefing
03 Jan 2017 The MiFID II Review #13 - FCA's fourth and final CP on MiFID II: an end of year sweep up before the real work begins
The FCA has published its final consultation on MiFID II on 16 December 2016 (CP16/43).
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financial REGULATION newsflash
26 Oct 2017 MiFID II Series #17 - Research unbundling: the final word(s) before MiFID day
Guidance on interpretation of MiFID II provisions in relation to research has been previously published by ESMA in the form by Q&As and the move by the European Commission is no doubt as a result of pressure from the industry in the EU and the US and to add weight.
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financial regulation briefing
05 Oct 2017 MiFID II Series #15 - UK regulator publishes MiFID II papers (CP17/8 and PS17/5)
On 31 March 2017, the FCA published its first policy statement PS 17/5 (First PS) and a fifth (unexpected) consultation paper CP17/8 (Fifth CP) on MiFID II.
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financial regulation briefing
17 Dec 2015 MiFID II Series #7 – FCA's Consultation Paper I
On 14 December 2015, the FCA published the first of a series of MiFID II Consultation Papers, this one covering the markets elements of MiFIR.
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#3 MiFID Briefing Series
01 Jan 2015 THE MiFID II REVIEW - ESMA's final report and follow-up Consultation Paper
Introduction In our MiFID Briefing No. 1 and MiFID Briefing No. 2, we explained the revised MiFID and MiFIR legislation and ESMA's original Discussion and Consultation Papers.
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client briefing
18 Feb 2020 MiFID II REFIT is here....
Do you have the energy for MiFID II Refit... tick (1) to agree; (2) to disagree; (3) don’t know...
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financial regulation briefing
01 Dec 2016 How extra-territorial is MiFID?
How extra-territorial is MiFID?
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financial regulation briefing
03 Oct 2016 The MiFID II Review - Product Governance: How to assess target market
ESMA has published draft guidelines on the target market assessment under the recent Markets in Financial Instruments Directive (MiFID II) product governance requirements.
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financial regulation
01 Mar 2021 MiFID "Quick Fix" is here
On 26 February 2021, the MIFID Quick Fix Directive was published in the Official Journal.
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financial REGULATION briefing
14 Jul 2017 MiFID II Series #16 - The time for talking is almost over: FCA publishes MiFID II papers (PS17/14 and CP 17/19)
Scope – beyond MiFID II requirements The FCA has clearly outlined some broad categories where it has gone further by applying the MiFID II standards to non-MiFID businesses.
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FINANCIAL regulation briefIng
15 Jun 2016 #9 MiFID II Review - European Commission adopts Delegated Acts on MiFID II
The Delegated Acts follow the publication of the MiFID Delegated Directive in relation to research and product governance on 7 April 2016, which we covered in series 8 of our MiFID II review.
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INVESTMENT FUNDS INSIGHT ISSUE 1 | EUROPE
26 Apr 2017 MiFID for asset managers
MiFID II will replace the current MiFID (“MiFID I”) as the framework legislation that regulates a significant proportion of firms providing investment services and activities in the EU including many asset managers.
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financial regulation briefing
01 Sep 2016 The MiFID II Review #11 - The FCA's Third MiFID II Consultation Paper (CP16/29)
The FCA proposes further changes for non-MiFID business.
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Financial regulatory
06 Feb 2020 MiFID II: The difficulties of Equivalence
Headline messages The key takeaways are: MiFID third country regime tightened.
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financial regulation briefing
03 Jul 2017 ESMA considers MiFID product intervention powers to delay FCA intervention on retail CFDs under CP16/40; but the FCA still finds failings in firms' appropriateness assessments
Clearly, sharing a commitment to delivering key aspects of MiFID II (product governance, disclosures and inducements) and PRIIPs KID may also help them fight their corner. 2.