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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
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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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Boat to support industry with MiFID II transparency solution

Boat Services Ltd, independent OTC trade reporting service provider, has announced that it will apply for approved publication arrangement (APA) authorization under MiFID II. This means that ... Boat will apply to the FCA in the UK when registration ... 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

ESMA Publishes Further Draft ITS Under MiFID II

On December 11, 2015, the European Securities and Markets Authority (ESMA) submitted to the European Commission its final report (ESMA/2015/1858) on draft implementing technical standards (ITS) under the MiFID II Directive (2014/65/EU) and the Markets in ... read more

Mifid II could sabotage RDR objectives

Alarm about the deep and wide-ranging implications of the EC’s Mifid II consultation appears to have been dulled by the wording of the paper, which seasoned Brussels watchers have described as ‘woolly’ and ‘confusing’. UK advisers may be ... read more

Bank of Russia to block websites of unregulated forex brokers

It appears the Russian financial regulator has decided to take further steps in dealing with unlicensed forex brokers. Namely ... a company is targeting Russian investors without having an authorization to do so, its website address is automatically ... 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

James Rundle: Reporting for Duty

The UK’s Financial Conduct Authority (FCA) has been lenient with dispensing sanctions over ... those whose trade reports can’t be matched, or those who frequently file reports incorrectly. This would amount to a leader board of sorts, with the top ... read more


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