Tag: MiFID rules

FCA regulation
April 29, 2021 BY Steffy Bogdanova

FCA considers scrapping MiFID rules for small-caps

The FCA now proposes to alter current research-related inducement rules in order to broaden the list of "minor non-monetary benefits". This list will be set to include research on SMEs with a market cap of less than £200m, so that the rules will no longer limit it. FICC research, often associated with difficulties in applying…

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May 22, 2014 BY Gerald Segal

ESMA launches MiFID II consultation process through August 1

Europe's pan-financial regulator European Securities and Markets Authority (ESMA) has launched its consultation process for the implementation of the revised Markets in Financial Instruments Directive (or MiFID II) This marks the first step in the process of translating  MiFID II requirements into practically applicable rules and regulations - primarily aimed at improving financial market transparency and strengthening investor protection.MiFID II introduces changes that…

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February 07, 2014 BY Gerald Segal

ESMA tells EU brokers to crack down on sales practices to retail investors

ESMA particularly notes selling practices of complex financial products to retail clients. ESMA is continuing to throw its weight around, and establish itself as a to-be-taken-seriously pan-European rule setter in financial markets. What exactly is ESMA's role? While not technically a regulator -- each EU country has its own financial regulator (e.g. FCA in the UK,…

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