In the UK the Financial Services and Markets Act 2000 (FSMA) gives the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) certain powers
December 08, 2014
The legislative texts that will amend the Markets in Financial Instruments Directive (MiFID) have now been approved.
October 15, 2014
MiFID II and third country provisions: establishment of branches, registration by ESMA, transitional provisions and exclusive initiative of the client.
October 13, 2014
MiFID II and MiFIR introduce a new category of trading venue, the organised trading facility (OTF).
While the headline changes to the MiFID regime center on market infrastructure, there are many changes being made to investor protection requirements.
MiFID II provisions on high frequency and algorithmic trading: the obligations examined; market making strategy, DMA and notifications to national regulators.
October 10, 2014
MiFID II’s impact on commodities & commodity derivatives trading: the extended scope of financial instruments, the exemptions, position limits & position reporting.
October 09, 2014
The Markets in Financial Instruments Directive (MiFID) is one of the cornerstones of EU financial services law setting out which investment services and activities s
In this briefing note we consider the EU Undertakings for Collective Investment in Transferable Securities (UCITS) V Directive (2014/91/EU) (UCITS V), which amends t
September 26, 2014
On 30 July 2014, the PRA published a policy statement (PS7/14) announcing the revised clawback obligations which will apply to PRA-regulated firms in remuneration le
August 21, 2014
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