We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

The European Commission has adopted a Delegated Regulation supplementing Directive 2014/65/EU (MiFID II), with regard to regulatory ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

The UK Financial Conduct Authority (FCA) has published policy statement PS25/13, finalising the transfer of firm-facing requirements from the UK version of the ...

A main driver for the recently announced MiFID II compliance rules was European Regulators saw unfairness in the practice of asset managers using “soft dollars” in their fees for research purposes.

Data management provider AutoRek has published guidelines on how firms can avoid incurring penalties under the second Markets in Financial Instruments Directive (MiFID II). Recommendations include the ...

A survey last year found more than three-quarters (77 per cent) of pension schemes feel they do not necessarily have the operational infrastructure in place to accommodate change, such as the ...

From the blog: Most rules handed down from Europe are treated with distrust, and the forthcoming markets in financial instruments directive – or MiFID II – legislation is no exception. Some call it ...

FIX has been at the forefront of electronic trading for over two decades now. Whilst its roots, for obvious reasons, are within technology departments, it has been a combination of technicians and ...

This content is provided by an external author without editing by Finextra. It expresses the views and opinions of the author. In January 2018 MiFID II/R will require changes to the trading, clearing ...

UK regulator the Financial Services Authority has turned back from proposals set out in a discussion paper published last May on how it might implement the EU’s forthcoming Markets in Financial ...

This content is provided by an external author without editing by Finextra. It expresses the views and opinions of the author. The licence, formally granted by the Securities Market Agency in Slovenia ...