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Latham & Watkins LLP

ESMA Consults on ESG-Related Amendments to Its Suitability Guidelines

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Proposed changes seek to reflect the integration of sustainability considerations into MiFID II. The European Securities and Markets Authority (ESMA) is consulting on updates to its Guidelines on the MiFID II suitability...more

Latham & Watkins LLP

Second FCA Consultation on New Prudential Regime for Investment Firms

Latham & Watkins LLP on

Latest FCA consultation focuses on remuneration, risk management and governance, and liquidity requirements. Key Points: The consultation: ..Sets out the FCA’s proposals for the new remuneration rules for FCA...more

A&O Shearman

UK Competition and Markets Authority Consults on Draft Definitions in Investment Consultants Market Investigation

A&O Shearman on

The U.K. Competition and Markets Authority has published a consultation entitled "Draft definitions of Investment Consultancy services and Fiduciary Management for the purposes of potential remedies," under its Market...more

Katten Muchin Rosenman LLP

ESMA Consults on Knowledge and Competence Requirements

Katten Muchin Rosenman LLP on

Under the original EU Markets in Financial Instruments Directive (MiFID) framework, investment firms must ensure that their personnel have the “skills, knowledge and experience” necessary for their particular functions....more

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