MiFID and MiFID II

MiFID and MiFID II guidance:

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance, see...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance, see...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance, see...

Practice Note

MiFID II: changes to client order handling requirements The Markets in Financial Instruments Directive (Directive 2004/39/EC) (MiFID) has been replaced by the recast...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For guidance, see...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance, see...

Practice Note

Background to appropriateness requirements The Financial Conduct Authority’s (FCA) rules on 'appropriateness' and the appropriateness test (which are...

Practice Note

Background to best execution requirements This Practice Note explains the Financial Conduct Authority's (FCA) rules for the execution of client orders, known as the best...

Practice Note

Background to FCA inducements requirements This Practice Note explains the Financial Conduct Authority's (FCA) rules on inducements (for example fees, commission or...

Practice Note

Background to FCA suitability requirements This Practice Note looks at the suitability rules of the Financial Conduct Authority (FCA). For specific guidance on...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance, see...

Practice Note

Since 2007, the Markets in Financial Instruments Directive (MiFID) had increased competition and innovation, leading to better services and protection for investors in...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance, see...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance, see...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance, see...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance, see...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further...

Practice Note

Introduction to MIFID II and MiFIR Level 1 Glossary This glossary sets out, in alphabetical order, all the terms defined in the recast Markets in Financial...

Practice Note

The purpose of this Practice Note is to provide an overview of the level 3 measures published by the European Securities and Markets Association (ESMA), the European...

Practice Note

BREXIT: UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance, see...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance, see...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance, see...

Practice Note

Introduction to the MiFID II level 1 roadmap The recast Markets in Financial Instruments Directive (2014/65/EU) (MiFID II) and new Markets in Financial Instruments...

Practice Note

Introduction to the MiFID II level 2 and level 3 roadmap The recast Markets in Financial Instruments Directive (Directive 2014/65/EU (MiFID II) and new Markets in...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance, see...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance, see...

Practice Note

BREXIT: UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance, see...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance, see...

Practice Note