Investor protection

MiFID II 18 months on – what is under the supervisory spotlight?

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Disentangling transaction cost disclosure: a MiFID II and PRIIPs obligation

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A granular understanding of the several types of costs and charges is important for all market participants.  These can have a substantial effect on investors’ returns (see graph below) and, if disclosed effectively, should facilitate market efficiency.  With this in mind, regulators have gone to considerable lengths to implement all the necessary requirements related to the disclosure of all costs and charges

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MiFID II Product Governance Framework- Changing the face of Investor Relations

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Introduction With less than 5 months left before the deadline for MiFID II on 3 January 2018, firms are still grappling with the implementation of MiFID II.  One key area is the new product governance framework which has been enacted with the objective of ensuring that firms act in the best interests of their clients

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MiFID II product governance: is it the death of investment product market abuse?

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Introduction With less than 5 months left before the deadline for MiFID II on 3 January 2018, firms are still grappling with the implementation of MiFID II.  One key area is the new product governance framework which has been enacted with the objective of ensuring that firms act in the best interests of their clients

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The new MiFID world: research from the buy-side perspective

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The clock is ticking and the EU market has less than half a year left to implement the regulatory changes required from it.  The revised Markets in Financial Instruments Directive (MiFID II) sets new legislation effective 3 January 2018, containing a range of complex provisions intended to enhance transparency and investor protection within the financial

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JWG announce 12 July MiFID Webinar

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In our previous article we announced some of the key findings from our recent buy-side focused MiFID survey. Now we are pleased to announce a webinar on 12 July to review and analyse the results in more depth with a panel of experts. The webinar will aim to present new survey findings to help inform

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Costs and charges: the crossover between MiFID II and PRIIPs

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Not long now – in less than 6 months’ time – both MiFID II and PRIIPs will become effective across EU Member States. ESMA recently published a Q&A on MiFID II and MiFIR investor protection topics in which 14 new questions were added. These include new Q&As on costs and charges in relation to the

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The Other Securities Regulator: A Case Study in Regulatory Damage

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Posted by Anita K. Krug, University of Washington School of Law, on Wednesday, June 14, 2017
Editor's Note: Anita K. Krug is D. Wayne and Anne Gittinger Professor of Law at the University of Washington School of Law. This post is based on a recent article by Professor Krug, forthcoming in the Tulane Law Review.

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Federal Banks’ Permitted Concealment of Material Information and Systemic Risk

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Posted by Beckwith B. Miller, Ethics Metrics LLC, on Thursday, May 25, 2017
Editor's Note: Beckwith B. Miller is a Managing Member at Ethics Metrics LLC. This post is based on an Ethics Metrics publication.

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CHOICE Act 2.0: House Financial Services Committee Revises Regulatory Reform Bill

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Posted by John C. Dugan and Randy Benjenk, Covington & Burling LLP, on Monday, May 8, 2017

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