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The Markets in financial instruments Directive 2004/39/EC is an eu directive that incorporates a revised set of investment regulations within the EU as from 1 November 2007. Occupational pension schemes, as ‘a client who possesses the experience, knowledge and expertise to make its own decisions and properly assess the risks it incurs’, are designated as professional clients of investment managers and enjoy a slightly lower standard of care than retail investors.
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FCA consultation paper tracker—2017 [Archived] This tracker sets out the consultation papers published by Financial Conduct Authority (FCA) in 2017, along with the publication of any subsequent rules and guidance. For details of FCA consultation papers from other years, see: FCA consultation paper tracker. For details of Prudential Regulation authority (PRA) and Financial Services Authority (FSA) consultation papers, see: • PRA consultation paper tracker • FSA consultation paper tracker [Archived] Topic area Consultation Paper Description Publication date End of consultation period Policy Statement/ Handbook Notice Payment systems and services CP17/44: PSR regulatory fees The Payment Systems Regulator (PSR) and the FCA published a consultation and decision paper setting out their policy decision on the way they will collect PSR regulatory fees in 2018/19 and in subsequent years, and consulting further on the proposed fees allocation method. 15 December 2017 26 January 2018 Handbook Notice 53 (23 March 2018)CP18/8 (23 March 2018) Consumer credit, mortgage and home finance CP17/43: Credit card market study: Persistent debt...
EU and global sustainable finance and ESG—timeline This timeline outlines the key developments relating to sustainable finance and environmental, social and governance (ESG) in the financial sector (and associated requirements, such as disclosures, transition plans) from an EU and international perspective. Sustainable finance and ESG (including climate change) issues relate to the integration of ESG factors, risks and preferences in financial products and services, as well as in investment, financing and business decisions, operations and risk management. For information on the Commission’s Sustainable finance action plan, see Practice Note: Climate change and sustainability issues for the EU financial sector. For information on UK and International developments, see Overview: Sustainable finance and ESG—overview. For information on EU, international and UK developments in Sustainable finance and ESG before 2021, see Checklist: Sustainable finance and ESG—timeline 2016–2021 [Archived]. 2024 Date Source Document Description 11 November 2024 Council of the European Union Draft REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on the transparency and integrity of Environmental, Social and Governance...
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JIBFL articles Relevant articles The Journal of International Banking and Finance Law includes many useful articles on and related to MiFID which can be linked to from this page. These articles are only available to Lexis®Library subscribers. Date Article Brief description of article 1 May 2018 ‘The enforcement of basic norms of commerce and of fair and honest dealing’: holding banks to higher standards (Part Two) (2018) 5 JIBFL 294 In this article, Gerard McMeel continues the discussion of when a bank is a ‘fiduciary’, focusing on policy arguments favouring enhanced standards of behaviour for financial intermediaries. 1 April 2018 The English law rights of investors in Initial Coin Offerings (2018) 4 JIBFL 214 In this article, the authors consider, as a matter of English law, the rights and liabilities of parties to an Initial Coin Offering. 1 April 2018 Do the FCA's Principles for Business require a firm to give the best advice? (2018) 4 JIBFL 246 In this article, the author considers whether...
SM&CR—policy development and key dates This Practice Note tracks the development of policy and guidance related to the SM&CR, together with key dates, past and future. For further information and LexisPSL resource on the SM&CR, see SM&CR and approved persons regime—overview. For an introduction to the SM&CR, including further details on future developments, see Practice Note: SM&CR—one minute guide. For developments relating to culture, and diversity and inclusion (D&I), see: Culture and D&I in financial services—timeline Action Date The deadline for responses to HM Treasury’s Call for Evidence and the FCA and PRA’s joint Discussion Paper DP1/23 on the SM&CR was 1 June 2023. The next steps in terms of legislative or regulatory change will depend on findings. See Edinburgh Reforms: Review of SM&CR launched, LNB News 30/03/2023 34 and Practice Note: SM&CR—one minute guide — Policy development. TBC The government is due to formally respond in 2023 to HM Treasury’s Consultation and Call for Evidence on reforms to the payments regulatory landscape, including exploring extending the...
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When and how should a UK firm apply for authorisation or a variation of permission under MiFID II? This Q&A explains when and how a UK firm should apply for authorisation or a variation of permission (VoP) under the revised and recast Markets in Financial Instruments Directive (Directive 2014/65/EU) (MiFID II). Firms that carry on MiFID II activities without the necessary permissions may face civil, regulatory and/or criminal consequences. More detailed information can be found in the MiFID II application and notification user guide that was published by the Financial Conduct Authority (FCA) in January 2017. The Prudential Regulation Authority (PRA) has also produced a document setting out the authorisations process for MiFID II. What is MiFID II, and when will it take effect? From 3 January 2018, the Markets in Financial Instruments Directive (MIFID) will be replaced by a new Directive (MiFID II) and Regulation (MiFIR). MiFID II and MiFIR (the level 1 legislation) will be supplemented by detailed rules adopted by the European Commission in...
Do MiFIR pre- and post-trade transparency requirements apply to transactions in Euro Commercial Paper (ECP)? IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s withdrawal from the EU. At this point in time (referred to in UK law as ‘IP completion day’), key transitional arrangements come to an end and significant changes begin to take effect across the UK’s legal regime. This document contains guidance on subjects impacted by these changes. Before continuing your research, see Practice Note: What does IP completion day mean for DCM lawyers? [Archived] The Markets in Financial Instruments Regulation (EU) (600/2014) (MiFIR) introduced pre- and post-trade transparency requirements for non-equity instruments traded on a regulated market, multi-lateral trading facility (MTF) or organised trading facility (OTF) (together, trading venues). Non-equity instruments include bonds, which are tradeable debt instruments. European Commercial Paper (ECP) would be considered bonds for this purpose, and trades in ECP would be subject to the pre-and post-trade...
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This week's edition of Banking and Finance weekly highlights includes: (1) the High Court holds that BOS did not breach implied terms in facility agreements in relation to forced asset disposals; (2) ICMSA updates standard provisions for bondholder meetings with enhanced electronic consent wording; and (3) ESMA announces implementation of new regime for the reporting of OTC transactions.
This week's edition of Banking and Finance weekly highlights includes: (1) Companies House announces implementation dates for key regulations of ECCTA 2023; (2) FSB publishes report on the effects of the G20 financial regulatory reforms on securitisation; and (3) EBA and ESMA publish report analysing recent developments in cryptoassets.
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