MiFID II – Clarification on independence
There are some apparent anomalies in the rules. We have obtained 'clarification' from the FCA.
MiFID
LEI update
A temporary solution if there are problems obtaining an LEI in time for any affected transactions from 3 January 2018.
MiFID ll – Compliance Function Enhancements
How will changes to compliance governance affect your company?
MiFID II – Telephone recording update
The FCA has clarified some aspects of how the recording rules will apply to firms that are not Article 3 […]
December 2017 Update
New MiFID II ‘Confirmation of Continued Suitability’ Process
MiFID II – Suitability
Suitability remains much the same as pre-MiFID II but there are some changes that firms need to be aware of.
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