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Boris & Brexit: Deal Or No Deal

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
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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
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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
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How hard can Brexit be?

What might a "hard" Brexit look like for private equity and venture capital firms in the UK?

28 October 2016
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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
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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
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Venturing further

The European venture capital funds regime (EuVECA) is a helpful initiative for venture capital fund managers, and proposed changes by the EU Commission to improve take up should...

14 October 2016
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MiFID II - changes to transaction reporting

Significant revisions to the transaction reporting requirements under MiFID.

12 October 2016
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France moves to attract UK fund managers

The French regulator has established a programme to encourage UK based fund managers to establish a base in France and access the EU single market

07 October 2016
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Mandatory Trading in Derivatives under MiFID II

MiFID II introduces a mandatory trading requirement for certain MiFID derivatives contracts to be traded on prescribed trading venues.

03 October 2016
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The AIFMD’s “third country passport”

The AIFMD’s “third country passport” may be available in some non-EU countries relatively soon, but questions remain on how to opt in and what happens to National Private...

30 September 2016
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Government proposes to narrow scope of "advising on investments" regulated activity

HM Treasury is consulting on aligning the UK definition of regulated financial advice with that in MiFID.

29 September 2016
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