by Emma Cleveland | 2016-11-24 | Industry News
Introduction The European Securities and Markets Authority (“ESMA”) has published a new set of Q&As on transparency topics under MiFID II and MiFIR. The purpose of the Q&As is to promote common supervisory approaches and practices in the application of MiFID...
by Emma Cleveland | 2016-11-16 | Industry News
Introduction The European Securities and Markets Authority (ESMA) has published a consultation paper on the draft regulatory technical standards (RTS) that it is required to draft under Article 65(8)(c) of MiFID II with regard to the consolidated tape for non-equity...
by Emma Cleveland | 2016-10-19 | Industry News
The Joint Committee of the European Supervisory Authorities (the “Committee”) has recently published a report on risks and vulnerabilities in the EU financial system. Introduction The UK’s decision to leave the EU highlights uncertainties in the EU financial systems....
by Emma Cleveland | 2016-10-06 | Industry News
On 20 September 2016, HM Treasury released their consultation to amend the definition of financial advice (the “Consultation”). This Consultation is the product of the Financial Advice Market Review (the “Review”) which was launched by HM Treasury and the FCA in March...
by Emma Cleveland | 2016-10-05 | Our Thinking
The FCA have recently produced an alert that highlights some of the risks that authorised firms may encounter by accepting business from unauthorised introducers, lead generators and/or other authorised introducers. We have summarised the FCA’s alert and set out...
by Emma Cleveland | 2016-09-27 | Industry News
On the 4 and 5 September 2016, the G20 leaders met and President XI Jinping (chairing the summit) stated that one of the main issues and areas that the leaders need to focus on is the present global economy and the need to address volatility in the financial market...
by Emma Cleveland | 2016-09-23 | Industry News
Purpose The Board of International Organization of Securities Commission (“IOSCO”) have recently published a consultation paper in order to obtain stakeholders’ views on a set of proposed good practices for investors to voluntarily terminate collective...
by Emma Cleveland | 2016-09-21 | Our News
We have recently launched the first of our exclusive range of online investment management-related courses. Our online courses are ideal if you cannot attend our London-based courses in person or if you prefer the flexibility of being able to do a...
by Emma Cleveland | 2016-09-15 | Industry News
Purpose The Board of the International Organization of Securities Commission (“IOSCO”) have recently published a consultation paper in order to obtain stakeholders’ views on a set of proposed good practices for investors to voluntarily terminate collective investment...
by Emma Cleveland | 2016-09-14 | Our Thinking
Our key cases glance card contains practical take away points and drafting tips from some of the most notable cases of 2015 in regards to commercial contracts. Please click below to access it. Should you have any questions regarding any commercial contract...
