MiFID II: regulating investment firms from the inside out

MiFID II: regulating investment firms from the inside out

JIBFL_2015_Vol30_Issue6_FRONT COVER

Though considered significant at the time, the organisational requirements of the first Markets in Financial Instruments Directive look today somewhat light touch. The latitude afforded to firms on how to implement a number of broadly posited governance requirements contrasts with the detailed requirements in the MiFID II package. In this this article Alix Prentice and Caroline Bystrom at Taylor Wessing LLP look back to MiFID I and examine some of the gaps investment firms will have to fill in order to comply with MiFID II.

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JIBFL will be sharing two articles per month on-line only. They will be available on the Loan Ranger blog one month after publication in LexisLibrary.


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About the author:

Neeta started her legal career at Allen & Overy in 2008 in the midst of the global financial crisis and the collapse of Lehmans where she gained most of her paralegal experience.

Neeta also did a short stint in litigation at the Revenue and Customs Prosecutions Office in 2006. Neeta graduated with a 2:1 honours degree from University of London, Queen Mary College and went on to obtain a distinction from the College of Law in the Legal Practice. She has been working at Lexis Nexis since April 2013.