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FCA urges UK brokers to file for MiFID II authorization

The Markets in Financial Instruments Directive (MiFiD II) introduces some important changes to financial services regulation in the UK. In a notice issued on Monday, FCA encourages firms carrying out activities covered by MiFID II within the country to ... read more

Financial Regulatory Developments Focus - December 2015 #3

JD Supra provides users with access to its legal industry publishing services (the "Service") through its website (the "Website") as well as through other sources. Our policies with regard to data collection and use of personal information of users of the ... read more

HFTs; MF Global; Another CFTC Big Fine; ATS Breakdowns; Fed Study Assesses Clearing: Bridging the Week March 23 to 27 and 30, 2015

Registered broker-dealers are not currently required to ... ICE products through FCMs that are clearing members of ICE Clear. FCA Seeks Views on MiFID II Implementation: The UK Financial Conduct Authority is seeking input on its early views regarding ... read more

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FCA Opens MiFID II Passporting Gateway

On July 31, the UK Financial ... the FCA is now accepting such forms for MiFID II passport applications. The FCA has stated that MiFID II passporting forms should only be submitted once firms have received confirmation that their MiFID II authorization ... read more

FIA Reports on MiFID II/MiFIR Compliance for US FCMs

... MiFIR rules that require FCMs to either be authorized as an investment firm under MiFID II/MiFIR or to discontinue the activity that is triggering the authorization requirement. Direct impact of MiFID II/MiFIR rules that require ongoing compliance ... read more

Deutsche Bank AG (DB)

Deutsche Bank AG filed its most recent Title I US Resolution Plan in July 2015 and, as a foreign-based covered company, was not required to file one in 2016 ... in Financial Instruments Directive (“MiFID II”) and the corresponding Regulation ... read more

FCA urges advisers to plan for wind-down

The FCA is consulting on guidance for firms closing down their business after advisers requested clearer information from the regulator. In a 28-page consultation document aimed at solo-regulated firms, the FCA says firms should have a wind-down plan ... read more

Asset Management

2.3.1 Predictions . . . . . . . . . . . . . . . . . . 2.3.2 Importance of EMH for Asset Management 2.3.3 Evidence for the EMH . . . . . . . . . . . 2.4 Wealth of Nations . . . . . . . . . . . . . . . . . . 2.5 Who Decides? read more

Financial Choice pays $21,600 in penalties for false and misleading representations

Financial Choice Pty Ltd, an Australian financial services provider, has paid two ASIC infringement notice penalties totalling $21,600, after making misleading representations in marketing emails sent to consumers and on its website. The first infringement ... read more

Shire to Combine with Baxalta, Creating the Global Leader in Rare Diseases

Combination creates leading global biotechnology company projected to deliver double-digit top-line growth with over $20 billion in annual revenues by 2020 The value of the offer, as of Shire's January 8, 2016 closing ADS price, represents a premium of ... read more


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