Mifid
Tax & Regulation | 25 Jul 17
Firms late with Mifid paperwork need emergency plans, says FCA
Financial firms that have missed the deadline to submit crucial information for compliance with Mifid II rules must have contingency plans in place, the UK’s Financial Conduct Authority (FCA) has warned.
Best Practice | 18 Jul 17
Advisers at risk from ‘inappropriate’ DFM agreements
Thousands of financial advisers could fall foul of Mifid II for having the wrong type of intermediary agreement with their discretionary fund managers, the Personal Finance Society has warned.
Best Practice | 4 Jul 17
UK advisers required to ‘tape’ calls under final Mifid II rules
Advisers in the UK will be required record telephone conversations with clients, the Financial Conduct Authority (FCA) has confirmed, and DFMs are set to be included in the measure.
Best Practice | 19 Jun 17
Regulation to make life ‘harder and harder’ for wealth firms
Regulation will make the job of a wealth manager “harder and harder” over the coming years, Quilter Cheviot’s Mark Hallam has said.
Best Practice | 19 Jun 17
Firms must take action now on Mifid II permissions says FCA
Firms that need to change their regulatory permissions to comply with Mifid II must act now, the UK’s Financial Conduct Authority has warned.