1. EEA Authorised firms operating through an “EEA Passport”:All countries in the European Economic Area (“EEA”), which includes EU countriesand also Iceland, Liechtenstein and Norway, are all part of the EU’s single market and therefore bound by MiFID legislation. One of the provisions ...
This change was proposed with the provision of short-term trading commentary by U.S. broker-dealers in mind. As the FCA noted in the Consultation Paper, U.S. broker-dealers are permitted to provide short-term trading commentary without being required to r...
However, the relevant provisions of the Draft FCA Rules and the 2023 Final Draft EU Risk Retention RTS are not identical. The risk retention provisions of the Draft FCA Rules include the following new provisions, compared with the CRR RTS, in a similar way to the Draft PRA Rules: ...
There will also be a consultation on the Tailored Support Guidance with the possibility that certain provisions will be included in the FCA Handbook. Next steps The FCA has stressed that firms need to consider their report and take action where necessary to improve customer outcomes. As well as...
When checking in at the hotel, you can choose to use bank cards which is the most commonly used. Alternatively, you can also access currency exchange services using cash at hotels that provide such services. Option 1: Bank card payment ...
Third, as mentioned, pastoral care provisions for the whistleblower could be affected. While anonymity is important for the individual, if a firm doesn’t know who they are then it can’t put in place care arrangements. This is important in sexual harassment cases, for example, where the ...
Gas Natural Aprovisionamientos SDG SA v Methane Services Ltd The Gimi[2009] EWHC 2298 (Comm) Hadley v Baxendale[1854] 9 Exch 341 Nippon Yusen Kaisha v Ramjiban Serowgee[1938] AC 429, [1938] 2 All ER 285 Larrinaga Steamship Co Ltd v R[1945] 1 All ER 329, [1945] AC 246, H ...
that pensions feature high on its agenda. Its Chief Executive, Martin Wheatley, recently described what is "arguably the most profound political reform of UK pension provision since Beveridge in the 1940s" (due to take effect from 1 April 2015) as the "most defining challe...
Advertising Format and Content Provision on Revenue-Sharing Content Platforms Analyst Coverage, Corporate Innovation, and Economic Value Creation, Consumption, and Control of Sensitive Content Leadership Traits and Auditors’ Reliance on Innovative Approaches under Time Pres...
Quotas get action: they “open the way to equality and they break through the glass ceiling,” according to Reding, a result seen in France and other countries with legally binding provisions on placing women in top business positions. I understand Reding’s reluctance-and her frustration. I ...