In focus

MiFID II

MiFID II could affect a wide range of your firm’s functions – from client services to IT and HR systems.

Oversight of best execution

Investment managers still failing to ensure effective oversight of best execution.

Use of dealing commission

Firms continue to fail to meet our expectations on their use of dealing commission.

Changes to COBS in Quarterly Consultation Paper No. 15

A chapter in our latest Quarterly Consultation Paper is looking to make changes to COBS on adviser charging for vertically integrated firms, arising out of the Financial Advice Market Review.

CP16/39: Quarterly Consultation Paper No. 15

EBA review of the prudential framework for MiFID investment firms

On 17 January, we hosted an event to talk through the recent EBA discussion paper and explain the thinking behind the proposals and give firms the opportunity to ask questions.

Watch a recording of the event (registration required).