MiFID II Disclosure Article 4 – Periodic Reporting
Fingers crossed, no changes for ATEB clients, but best check!
MiFID
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.
MiFID II – Disclosure article 1
MiFID II has an impact of disclosure requirements.
MiFID II
Periodic assessment of suitability under MiFID II
Suitability reports under MiFID II
Many firms will need to make changes to their suitability processes.
Recording telephone conversations
The FCA has published its policy on recording telephone calls.
Legal Entity Identifiers
Legal Entity Identifiers will be required by some investors from 3 January 2018. Read this article for more information.