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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