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1 November 2007
The Markets in Financial Instruments Directive (MiFID) came into effect on 1 November 2007, and replaced the existing Investment Services Directive (ISD). More
17 October 2007
FSA publishes guidelines for Investment Firms using TDMs (Trade Data Monitors) More
15 October 2007
Updated Q&A document with new answers on: whether UCITS management companies can obtain a licence to operate an MTF; the application of the suitability and appropriateness tests to an investor acting as a trustee; the definition of "leveraged portfolio"; whether indirect access to an execution venue (e.g. via a broker) is considered to be executing a client order or reception and transmission of orders; how a portfolio manager should separate out execution costs from research costs in relation to a "bundled" brokerage fee so as to comply with obligations to act in the client’s best interest; and the latest state of play of MiFID transposition in Member States. More
13 September 2007
From 1 November 2007, a new Conduct of Business sourcebook (COBS) comes into effect. It includes, in COBS 10, a new requirement that derives from the EU Markets in Financial Instruments Directive (MiFID): the ‘appropriateness test’. Here, the FSA considers how this may work More
13 September 2007
Transaction Reporting System MiFID FAQs, published by the FSA More
28 August 2007
The FSA's latest newsletter is a special issue on transaction reporting More
24 August 2007
MiFID Connect issues investment research guidance More
10 August 2007
The European Commission has published FAQs relating to MiFID, that were submitted by website visitors or direct correspondence with the Commission services More
3 July 2007
CESR publishes the list of ‘Liquid Shares’ according to the MIFID, as well as all shares listed on EU Regulated Markets More
29 May 2007
CESR publishes Q&A on best execution More
29 May 2007
CESR publishes final level 3 MiFID guidance More
2 February 2007
CESR consults on best execution and reporting under MiFID: Today's announcement launches the fifth round of public consultation relating to CESR's MiFID Level 3 work programme (following record keeping, market data consolidation, inducements and passporting). More
February 2007
A series of free MiFID briefings looking at practical responses to the new regulatory environment will be hosted around the country by Investmaster. More