Communications with clients under MiFID II

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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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
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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
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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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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

Healthy mid-market lending

In this Leveraged Finance Briefing, Ian Borman discusses the state of the mid-market leveraged sector.

17 October 2016

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 更多

14 October 2016
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