knowledge landing page image

Impact of Criminal Finances Act (‘CFA’) 2017

Banking & Finance

Impact of Criminal Finances Act (‘CFA’) 2017

The Criminal Finances Act (“CFA”) 2017 comes into effect on 30 September 2017. The CFA introduces two new offences which could affect any company with links to...

04 August 2017

Policies to protect whistleblowers in UK branches of Chinese banks

Failures to comply with a bank’s UK regulatory obligations, including a failure to implement whistleblower protections, may lead to reputational damage, fines and licence restrictions for that bank....

26 May 2017

Marketing and other communications with clients under MiFID II

We examine changes to the requirements regarding client communications (including marketing) under MiFID II.

14 December 2016
Categories: 

FCA proposes tougher rules for retail CFD, FX and spread betting providers

The FCA has published a consultation paper containing proposals to enhance the conduct of business rules for firms providing CFDs to retail clients.

09 December 2016
Categories: 

Commission proposes a simpler, smarter EMIR

The Commission has published a report on EMIR, suggesting ways in which the regime could be made simpler and more proportionate.

01 December 2016
Categories: 

MiFID II - increased regulatory burden on all forms of trading venues and trading activities

The new rules are designed to improve transparency, promote competition and improve the overall resilience of markets.

15 November 2016
Categories: 

MiFID II – client classification, agreements, reporting to clients and telephone taping

We examine various conduct of business obligations for firms when dealing with clients under MiFID II.

10 November 2016
Categories: 

MiFID II – the new regime for direct electronic access

MiFID II will introduce a comprehensive regulatory regime governing direct electronic access to trading venues.

01 November 2016
Categories: 

Ban paying - or feeding - the Piper: the MiFID II Inducements Regime

The latest in the long running series of regulatory attempts to ensure that it is only the firm’s client who can call the tune played.

27 October 2016
Categories: 

MiFID II – changes to the client assets and client money rules

The MiFID II provisions will align the client assets requirements more closely with the FCA regime under CASS.

18 October 2016
Categories: 

PSC Blues

We take a look at some of the problems for lenders stemming from the Register of Persons with Significant Control.

17 October 2016

Bail-In and Brexit

This article considers what might happen to the Bail-in Clause post Brexit

17 October 2016

This site uses cookies to enhance your experience and to help us improve the site. Please see our Privacy Policy for further information. If you continue without changing your settings, we will assume that you are happy to receive these cookies. You can change your cookie settings at any time.

For more information on which cookies we use then please refer to our Cookie Policy.

Supported by Cheap Skip Bin Hire Melbourne - Hire Skip Bins Ltd