MiCA passed in 2022, but aspects of it are still being worked out. Defining a financial instrument is a big outstanding question. The European Securities and Markets Authority (ESMA) released two ...

The Financial Conduct Authority has published a consultation paper on the Markets in Financial Instruments Directive Organisational Regulation (MiFID Org Reg). The FCA is consulting on proposals to ...

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 ...

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 ...

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.

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 ...

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 ...

From 2 August 2022, a client’s sustainable preferences must be included in the suitability process. Morningstar can help you navigate these upcoming changes. The core MiFID II principles of investor ...

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 ...

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 ...