Mifid
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.
CISI partners with Baltic association to boost qualifications
The Chartered Institute for Securities & Investment (CISI) has announced it will partner with the Baltic Financial Advisors Association (BFAA).
Best Practice | 19 May 17
The naked truth about MiFID II
The realities of Mifid II are beginning to dawn as advisers across Europe start to realise that commission transparency will be led by product providers, which could leave them feeling a bit exposed, says Shane Wood, business development manager for European IFA network OpesFidelio.
Best Practice | 2 May 17
MiFid II charge disclosure a ‘show stopper’ for European IFAs
Advisers across Europe underestimate how big an impact MiFid II will have on their businesses when they are required to report charges to clients from 3 January 2018, said OpesFidelio members at its annual conference in Prague.
Tax & Regulation | 3 Apr 17
UK wealth managers refused FCA opt out from Mifid ‘taping’ rule
New rules to force UK wealth managers to tape telephone calls with clients will not apply to smaller advisory firms, the FCA revealed on Friday.