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MiFID II
Compliance

The FCA has publishished a Consultation Paper regarding potential changes to its Handbook to accommodate Markets in Financial Instruments Directive II (MiFID II), with a view to publishing a Policy Statement mid-2016.

MiFID II will affect firms to varying degrees depending on the service they provide.

If you have not already done so we recommend that senior management familiarise themselves with the ‘MiFID II – what is changing’ section of the FCA website that can be accessed here and the recent consulation paper here.

Don’t forget to check Our View about this article and the Actions Required By You

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Important Note: ATEB news is intended to provide general information ONLY. The content, including any views expressed or guidance provided, does not replace the need to comply fully with FCA Rules and Guidance. Unless you have discussed news article content with ATEB, and specifically how it relates to your circumstances, then ATEB disclaims all liability and responsibility and actions arising from any reliance placed upon it. For the avoidance of doubt therefore, any reliance you place on such information without our consultation is at your own risk.

ATEB Compliance offers compliance and regulatory advice.

ATEB Suitability provides report writing software for the financial services market.

Our View

Firms should have an awareness of the changes, regardless of how little they are affected.

Action Required By You

  • Senior Management should be aware of the potential impact on their firm;
  • Monitor FCA news, particularly feedback to the Consultation Paper and the forthcoming Policy Statement. 
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About the Author

Steve Bailey

Steve is an ATEB Director and has a deep understanding of all matter regulatory, built up over his 30 years + in the industry. With a training background and a technical brain, he overseas numerous complex projects and client implementation work.

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