The FCA offers flexibility to Article 3 firms facing increased MiFID compliance obligations

April 7th 2017

Following a period of consultation with the industry, the FCA has announced that it will be softening its application of MiFID II electronic communications recording (aka ‘taping’) requirements for Article 3 firms. The announcement follows a call from the Association of Professional Financial Advisors urging the FCA not to disproportionately “gold-plate” MiFID II regulations for the advisor market.

Read more ...

The European Commission adds clarity to MiFID II Call Recording and Record Keeping Requirements

January 25 2017


The European Commission has released a supplementary document to provide firms with further details on a range of MiFID II provisions. Included in the document is information pertaining to organisational requirements and operational conditions that will become applicable under the new Directive. This document will be of particular interest to those firms seeking a greater understanding of changes to call recording and record keeping requirements stipulated by MiFID II.

Read more ...

MiFID II - An Opportunity

Download the White Paper


This white paper will answer:

Who does MiFID apply to?

What does this mean for your business?

How does MiFID present an opportunity?

What should your buiness do next?

white paper front cover