FSMA Publishes Educational Brochure on MiFID II Investor Protection The Financial Services and Markets Authority (FSMA) has published a brochure intended to help investors and consumers better understand their rights. The brochure also outlines what obligations bind...
REGULATORY MiFID III – How Regulatory Bodies Can Improve On MiFID II It has now been two years since MiFID II was first implemented, and its impact on investors and the markets more generally is gradually becoming clearer. With this clarity comes a greater...
Fifth Of UK Fund Managers Make Reporting Errors to FCA According to data obtained under an FOI request by Duff & Phelps, approximately one-fifth of all UK fund managers are guilty of making errors in their transaction reporting to the Financial Conduct Authority...
ESMA Updates Q&As on MiFID II and MiFIR Investor Protection & Intermediaries ESMA has updated its questions and answers on the implementation of investor protection topics under the Markets in Financial Instruments Directive and Regulation. On December 4th,...
LME Requests Six-Month Delay to Telephone Trading Compliance The London Metal Exchange (LME) has stated that it will take an extra six months to ensure that trades made via telephone are compliant with new transparency requirements implemented as part of MiFID...
MiFID II Unbundling Relief Period Extended to 2023 by SEC The US Securities and Exchange Commission has granted a three-year extension to the MiFID II relief period for American firms. The SEC will allow US brokers to continue bundling execution and research payments...
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