February 2018 Update
Enterprise Investment Schemes (EIS/SEIS) and Venture Capital Trusts (VCT)
PI
General Data Protection Regulation (GDPR) Seminar
To help firms get to grips with the new regulations, ATEB will be running seminars in April.
Asset Management Market Study
In light of MiFID II this is worth revisiting
Pet hates of a file reviewer
A light hearted story of every day file reviews - with some serious messages.
MiFID II – Clarification on independence
There are some apparent anomalies in the rules. We have obtained 'clarification' from the FCA.
MiFID II – Aggregated costs disclosure
This new requirement is posing some questions about how it can best be implemented. We think that firms should wait […]
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 […]
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.