Regulatory Alerts2017-03-30
Added · Updated
CP17/8: Markets in Financial Instruments Directive II Implementation – Consultation Paper V
The Financial Conduct Authority proposes applying MiFID II standards on inducements, research, best execution, and taping to Occupational Pension Scheme (OPS) firms. The consultation seeks comments on switching off most existing COBS provisions for these firms while retaining specific rules on client order handling and personal account dealing. Additionally, the document proposes changes to the Decision Procedure and Penalties Manual and Enforcement Guide to extend enforcement powers, alongside consequential amendments to the Handbook regarding financial instrument reference data and commodity derivative position reporting.
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