The following Financial Services practice note provides comprehensive and up to date legal information covering:
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: The impact of Brexit on the MiFID II regime.
The recast Markets in Financial Instruments Directive (2014/65/EU) (MiFID II) and new Markets in Financial Instruments Regulation (600/2014) (MiFIR) were published in the Official Journal of the European Union (EU) on 12 June 2014 and entered into force on 2 July 2014. MiFID II and MiFIR significantly amend and expand the regulatory framework that was established by the Markets in Financial Instruments Directive (2004/39/EC) (MiFID I). As amended, the majority of the new Directive and Regulation came into effect on 3 January 2018, and EU Member States had until 3 July 2017 to transpose the provisions of MiFID II into national law.
This document provides an article-by-article roadmap of MiFID II, with information on UK implementation for each article, including proposed and final changes to legislation and rules made by HM Treasury, the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA)
For more information on MiFID II, see Practice Notes: MiFID I, MiFID II and MiFIR—essentials and MiFID II and MiFIR—one minute guide.
For more information on the UK implementation of MiFID II, see Practice Note: UK implementation of
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This Practice Note deals with the relationships arising between principals, agents and third parties with whom the agent deals on the principal’s behalf. It considers the principal’s liability for its agent, agent’s authority including remedies for breach of authority, fraud and misrepresentation,
The roles of nominated officer and money laundering reporting officerA nominated officer is an individual who is nominated by a firm to receive disclosures under Part 7 of the Proceeds of Crime Act 2002 (POCA 2002) or Part III of the Terrorism Act 2000 (TA 2000)—see Requirement to appoint a
The Third EditionThe third edition of the Standard Commercial Property Conditions was published on 27 April 2017. It is an update to Standard Commercial Property Conditions (Second Edition) (the Second Edition), which was published in June 2004. It is intended to reflect the changes in law and
This Practice Note considers the position of a security holder who has an equitable mortgage or charge over land and, in particular the powers that are available to complete a sale of the charged property.This Practice Note deals only with registered land.Mortgages and charges over land—a
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