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Mikkel Bates


Recent Posts

PRIIPS AND MIFID II REGULATORY CALENDAR

By Mikkel Bates

PRIIPs – Live date 1 January 2018

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Concern over non-complex products under MiFID II

By Mikkel Bates

On 6 June, the European Securities and Markets Authority (ESMA) published its MiFID II and MiFIR Q&As, covering a wide range of topics on the subject of investor protection. 

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FE Highlights the Client Reporting Challenges Facing Advisers Under MiFID II

By Mikkel Bates

FE have released a white paper today  (15 May) which highlights the challenges facing adviser firms in meeting client reporting requirements under the Markets in Financial Instruments Directive, (MiFID II) - which is to come into effect in January 2018.

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Commission announces 12-month delay to PRIIPs

By Mikkel Bates

At least one prediction has been right today, as the European Commission’s Vice President Valdis Dombrovskis confirmed it has recommended a delay of 12 months to December 2017 for PRIIPs KIDs at its meeting on 9 November.  This means that PRIIPs will go live at the same time as MiFID II, which was itself delayed by a year.

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So the PRIIPs RTS have been rejected, but no delay on Level 1 (yet)

By Mikkel Bates

On 14 September the European Parliament, as expected, followed the lead of its Economic and Monetary Affairs Committee (Econ) by voting 602 to 4 to reject the Level 2 rules as set out in the Regulatory Technical Standards (RTS) proposed by the Commission.

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