To help firms get to grips with the new regulations, ATEB will be running seminars in April.
Read more
In light of MiFID II this is worth revisiting
Read more
The FCA is enhancing the requirements for the provision of an ‘information prompt’ to prospective annuity consumers.
Read more
There are some apparent anomalies in the rules. We have obtained 'clarification' from the FCA.
Read more
A temporary solution if there are problems obtaining an LEI in time for any affected transactions from 3 January 2018.
Read more
How will changes to compliance governance affect your company?
Read more
The FCA has clarified some aspects of how the recording rules will apply to firms that are not Article 3
Read more
Although the new rules do not take effect until May 2018, it makes sense to consider them alongside MiFID disclosure
Read more
MiFID II brings a new definition of independence - firms need to consider if they can meet the requirements.
Read more
Firms need to understand the implications of the MiFID II definition of independent advice.
Read more