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China Tightens Regulation for Online Education

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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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
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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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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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MiFID II - changes to transaction reporting

Significant revisions to the transaction reporting requirements under MiFID.

12 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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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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Multilateral and Bilateral Trading under MiFID II – How is my platform/venue categorised?

We examine the regulation of trading venues under MiFID II.

20 September 2016
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New beginnings - Class actions in the UK

The UK’s class action regime has been in place for less than a year, but it has already attracted a £19 billion collective action against MasterCard.

26 August 2016
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Brexit - What Next For Financial Services?

A look at what financial services firms can be doing now in light of the UK’s decision to leave the EU

19 July 2016
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