London Governance & Compliance Academy
Introduced in 2007, the Markets in Financial Instruments Directive (MiFID) was an instrumental piece of European Union (EU) legislation, with its primary objective to ensure a robust level of investor protection across the entire European Economic Area (EEA). This directive emphasised the fiduciary duties of financial firms by stipulating an obligation to achieve the best […]
As of January 1, 2022, all UK MiFID investment firms will have to abide by the Financial Conduct Authority’s (FCA) brand-new Investment Firm Prudential Regime (IFPR).
According to the FCA, the IFPR’s overall objective is “to streamline and simplify the prudential requirements for MiFID investment firms that we prudentially regulate in the UK (FCA investment firms).”
An Overview of Corporate Governance, Financial Regulation and Compliance in the Financial Services Sector Running and managing a financial institution or any organization involved in the provision of financial services is not the simplest of tasks these days. As a result of a global push for increased financial transparency and corporate accountability, a greater number […]
