Firms that fail to put processes in place to meet the requirements of MiFID II now will undoubtedly feel the strain - both financially and operationally - in the near future, warns Matt Riordan
As is often the case with sequels, MiFID II is more ambitious, more expansive and arguably more confusing than its predecessor. With the January 2018 deadline now less than one month away, firms throughout...
Lost permissions two years ago
Advisers need to respond to FCA
Deadlines had been extended due to Covid-19
'Intellectually dishonest and... contrary to the law'
Systems, controls, governance and culture
UK Buffettology Smaller Companies investment trust
Follows govt advice
7, 8 and 9 October
The chair of the Financial Conduct Authority (FCA) Charles Randell has promised to “transform” the regulator in the wake of three separate financial scandals, independent reviews of which are set to be completed soon and are expected to provide “difficult...