• The new accountability regime

    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

  • MiFID II / MiFIR series

    The legislative texts that will amend the Markets in Financial Instruments Directive (MiFID) have now been approved.

    October 15, 2014

  • MiFID II / MiFIR series

    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 / MiFIR series

    MiFID II and MiFIR introduce a new category of trading venue, the organised trading facility (OTF).

    October 13, 2014

  • MiFID II / MiFIR series

    While the headline changes to the MiFID regime center on market infrastructure, there are many changes being made to investor protection requirements.

    October 13, 2014

  • MiFID II / MiFIR series

    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 / MiFIR series

    MiFID II’s impact on commodities & commodity derivatives trading: the extended scope of financial instruments, the exemptions, position limits & position reporting.

    October 09, 2014

  • MiFID II / MiFIR series

    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

    October 09, 2014

  • UCITS V Directive: In a nutshell

    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

  • The PRA Remuneration Code's revised clawback obligations

    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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