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Mifid, Uncategorized

FCA issues further reminder for firms to apply for MiFID authorisation

The UK’s Financial Conduct Authority has issued a further update reminding firms that need to apply for authorisation or a Variation of Permissions under MiFID II to apply as soon as possible, if they have not done so already. The updated notice can be found here. The notice follows previous reminders (see here).

The notice reminds those under FCA jurisdiction that applications should have been submitted by 3rd July 2017, and that anyone who needs to apply but has not done so risks not being able to carry out relevant activity. It also reminds readers that some market participants who offer Direct Electronic Access may now require authorisation where they did not need to beforehand.

About avivhandler

Aviv is the Managing Director of ETR Advisory, a niche consultancy focused on the regulation of the commodity, energy and financial markets. He has more than 23 years of experience in the financial, energy and commodity markets, covering regulatory compliance, credit, risk and financial technology. Prior to founding ETR, he was Partner at SunGard Global Services, where he built a Centre of Excellence in European Energy and Commodity Regulation. Before that, he founded Coherence, a consulting firm specializing in credit risk in commodity and energy trading as well as software product management. The credit practice ultimately became part of Sirius Solutions, where he was the Managing Director of Europe. He has also held management roles at KWI and Iris Financial, among other organizations. Mr. Handler holds a degree in computer science from Imperial College, University of London.


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