Showing 1-12 of 24 results

MIFID II – product governance provisions

We explain the MIFID II requirements on product governance, the FCA's implementation proposals and the practical implications for fund managers and distributors
16 February 2017

MiFID II – investment research rules

Time is running out for you to put arrangements in place to pay for third party research. Are you ready for the new rules on inducements in MiFID II?
18 October 2017

MiFID II: target market identification

What are product manufacturers’ and distributors’ obligations in relation to target market identification?
19 October 2017

MiFID II – changes to core fund-related documentation

What changes should authorised fund managers be making to core fund-related documentation?
19 October 2017

MiFID II and NURS – the complex funds conundrum continues

The issue of whether non-UCITS retail schemes are to be automatically categorised as "complex" products under MiFID II remains to be resolved following ESMA's MiFID II Investor Protection Q&A.
26 June 2017

MiFID II: key issues for trustees of occupational pension schemes

MiFID II overhauls the legal and regulatory framework for investment services. We consider the impact on UK occupational pension schemes and the action trustees should take.
03 January 2018

How to align MiFID II and GDPR when processing client data: actions for regulated firms

We set out the requirements of MiFID II and GDPR and consider how regulated firms can address both requirements in their use and retention of customer data.
10 January 2018


Jennifer  Mellor



Anna  Davis

Director Director

Government introduces changes to what constitutes regulated 'financial advice'

The government has passed legislation modifying the definition of 'financial advice' for (most) authorised firms as part of its ongoing initiative to increase the level of support given to consumers.
26 June 2017


John  Roberts

Associate Associate


Alex  Gillespie

Associate Associate
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