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 […]
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 ll – Compliance Function Enhancements