New Collective Investment Schemes legislation in the Isle of Man
Isle of Man Legislation widens to meet IOSCO principles
European legislation standard for Data Protection – GDPR
Deadline for compliance with GDPR fast approaching
Derivatives Trading Platforms
CFTC agrees common approach on derivatives trading platforms
MiFID II Position Limits
ESMA publishes opinions agreeing position limits proposed by the FCA
New Corporate Criminal Offence: ‘failure to prevent the criminal facilitation of tax evasion’
The Criminal Finances Act 2017 introduces new corporate criminal offences
Draft Guidelines for Non-Significant Benchmarks
ESMA proposes guidelines for non-significant benchmarks
Investigation into Investment Consultancy Services
Competition and Markets Authority investigates the supply and acquisition of Investment Consultancy Services
Unbundling Investment Research costs from Trade Execution costs (US)
SEC issues no-action letters providing greater certainty over the US Regulated activities of market participants
Investment Research
FCA releases statement on MiFID II inducements and research
Legal Entity Identifiers
Transaction reporting obligations for firms subject to MiFID II