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Communications with clients under MiFID II

Financial Markets Alert

Financial Markets Alert

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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MiFID II - changes to transaction reporting

Significant revisions to the transaction reporting requirements under MiFID.

12 October 2016
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举报规则下外国银行英国分支机构的告知义务

PRA和FCA就外国银行在英国的分支机构适用的举报规则征询意见

New rules on references in the regulated financial services sector

The FCA and PRA publish final rules on references in the regulated financial services sector

10 October 2016
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Draft EMIR margin rules approved providing 6 months reprieve for intragroup derivatives trades

The European Commission has approved draft EMIR margin rules and provide 6 months reprieve for intragroup derivatives trades

05 October 2016
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