MiFID ll – Compliance Function Enhancements
How will changes to compliance governance affect your company?
2018
GDPR – new data protection rules
Although the new rules do not take effect until May 2018, it makes sense to consider them alongside MiFID disclosure […]
MiFID II – Independence article 1
Firms need to understand the implications of the MiFID II definition of independent advice.
MiFID II – Independence article 2
MiFID II brings a new definition of independence - firms need to consider if they can meet the requirements.
MiFID II Disclosure Article 3 – Aggregated Costs
New requirement to disclose costs at least annually
MiFID II Disclosure Article 4 – Periodic Reporting
Fingers crossed, no changes for ATEB clients, but best check!
MiFID II Product Governance
The FCA has published a new handbook that sets out product governance requirements for manufacturers and distribtors
MiFID II Disclosure article 2 – services and costs
Your disclosure documents should be reviewed for compliance with MiFID II requirements.
MiFID II – complaints handling rules
How will changes to complaint handling rules affect your company?
MiFID II – are you ready?
The ATEB MiFID II guide.