FCA Hedge Exemption application guide and form
The UK's Financial Conduct Authority (FCA) has recently updated their MiFID Ii Commodity Derivatives page (see here). The page now contains a guide and step by step walk through for…
MiFID II enforcement
With just over 3 months to go until the start of MiFID II, many companies are struggling to meet the deadlines (see here). Those who will require authorisation or a…
LEIs required soon
The Legal Entity Identifier initiative was born out of the G20 measures put in place to reduce systemic risk, at the same time as the declaration which led to rules…
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…
Brexit developments
While Brexit has been making general political headlines (for example see The Telegraph here), more sector specific issues are of key importance, if planning for March 2019 is to be…
Developments in MiFIR’s open access arrangements
Articles 35 and 36 of MiFIR and the associated regulatory Technical Standards (RTS 15) and Delegated Act legislate for open access between trading venues and CCPs so that market participants…
MiFID II countdown – issues and lack of readiness and new information
With just over 3 and a half months until the start of MiFID II, there is a great deal for firms to do, especially those who are Investment Firms. Yesterday…
EMIR reporting changes nearly here
On 1st November 2017 the fields and formats with which trades must be reported under EMIR will change (see here). This is the third set of changes to be made…
MiFID II and GDPR interaction
The Global Data Protection Regulation applies from May 2018 and contains many requirements relating to the personal data. Controllers and processors of data in scope must comply with the rules…
Updated MAR Q+A issued by ESMA
ESMA has released an updated Questions and Answers document on the Market Abuse Regulation, which can be found here. The document contains several updates, including an update to the clarification…
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