MiFID will be implemented in November 2007 and constitutes the most radical shake-up of the UK’s regulatory system since the Financial Services and Markets Act 2000 came into force in December 2001. It will fundamentally affect the way banks and investment firms do business. Edward Hyde from the General Counsel’s Office of the Financial Services Authority and experts from Ashurst takes an in-depth look at MiFID’s far-reaching impact and the “Reforming Conduct of Business Regulation” consultation paper which is scheduled to be published in October 2006.
The conference focuses on:
- The ways in which firms organise themselves, and their systems and controls.
- How firms market and promote their services.
- The obligations which firms owe their customers.
- The execution and transparency of transactions in investments whether through exchanges, alternative trading systems or internally.
Original audience
Lawbites (London office).
Date recorded
02 Nov 2006.
Duration
2.5 hour(s).