206 Results
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financial regulation briefing
01 Dec 2016 How extra-territorial is MiFID?
How extra-territorial is MiFID? This is a question that we have been asking ourselves, and been being asked by clients, for some time now. We sometimes hear…
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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 has issued its most detailed document yet on the UK's approach to implementing MiFID II.
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client briefing
18 Feb 2020 MiFID II REFIT is here....
The European Commission has launched a survey consultation on MiFID II which has questions that many market participants will be interested in. The reason for…
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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…
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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…
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#5 MiFID Briefing series
01 Apr 2015 The MiFID II Review - HMT Consultation on MiFID II
Introduction HM Treasury ("HMT") has published a consultation paper on the UK's approach to the transposition of the MiFID II Directive (2014/65/EU) into…
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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 providing its comments on ESMA's…
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INVESTMENT FUNDS INSIGHT ISSUE 1 | EUROPE
26 Apr 2017 MiFID for asset managers
From 3 January 2018, MiFID II will require everyone engaging in the dealing and processing of financial instruments to implement new policies, procedures and…
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financial regulation briefing
01 Mar 2019 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 and a fifth (unexpected) consultation paper CP17/8 on MiFID II. Together, these…
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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)
On 3 July 2017, the FCA published its second Policy Statement (PS 17/14) (second PS) on the implementation of MiFID II, alongside a sixth Consultation Paper…
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financial regulation briefing
04 Jan 2017 MiFID II/MiFIR: share trading obligation
Article 23 of MiFIR requires an investment firm to ensure the trades it undertakes in shares admitted to trading on a regulated market or traded on a trading…
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financial REGULATION newsflash
26 Oct 2017 MiFID II Series #17 - Research unbundling: the final word(s) before MiFID day
The European Commission has today published guidance, in the form of Q&As, on rules under MiFID II relating to procurement of research by (effectively) EU…
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financial regulation briefing
03 Oct 2016 The MiFID II Review - Product Governance: How to assess target market
MiFID II lays down a number of product governance requirements (in Articles 16(3) and 24(2) predominantly) and states that the requirements on product…
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Financial regulation briefing
10 Aug 2016 The MiFID II Review #10 - The FCA's Consultation Paper 2 (CP16/19)
The FCA has now published its second Consultation Paper on implementing MiFID in the UK. Apart from numerous references to the continued need to implement…
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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. The changes are welcome, even if it's a stretch to call them…
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SDG NEWSLETTER | ashurst spain
12 Jan 2018 The arrival of MiFID II in Spain and recent regulatory developments
A short newsletter covering latest developments in terms of MiFID II implementation in Spain, updates on EMIR, Prospectus Regulation and Bitcoin markets.
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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. Given that…
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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. More information required from third country firm to ESMA. In some…
