LEI update 20 December 2017 Alistair MacDougallCompliance A temporary solution if there are problems obtaining an LEI in time for any affected transactions from 3 January 2018. Read More
MiFID II – Aggregated costs disclosure 20 December 2017 Alistair MacDougallCompliance This new requirement is posing some questions about how it can best be implemented. We think that firms should wait […] Read More
MiFID ll – Compliance Function Enhancements 18 December 2017 Alistair MacDougallCompliance How will changes to compliance governance affect your company? Read More
MiFID II – Telephone recording update 18 December 2017 Alistair MacDougallCompliance The FCA has clarified some aspects of how the recording rules will apply to firms that are not Article 3 […] Read More
December 2017 Update 15 December 2017 David AndersonSuitability New MiFID II ‘Confirmation of Continued Suitability’ Process Read More
MiFID II – Suitability 11 December 2017 Alistair MacDougallCompliance Suitability remains much the same as pre-MiFID II but there are some changes that firms need to be aware of. Read More
GDPR – new data protection rules 11 December 2017 Alistair MacDougallCompliance Although the new rules do not take effect until May 2018, it makes sense to consider them alongside MiFID disclosure […] Read More
MiFID II – Independence article 1 8 December 2017 Alistair MacDougallCompliance Firms need to understand the implications of the MiFID II definition of independent advice. Read More
MiFID II – Independence article 2 8 December 2017 Alistair MacDougallCompliance MiFID II brings a new definition of independence - firms need to consider if they can meet the requirements. Read More
MiFID II Disclosure Article 3 – Aggregated Costs 7 December 2017 Alistair MacDougallCompliance New requirement to disclose costs at least annually Read More