The partners of the Norton Rose Fulbright LLP financial services team invite you to their latest breakfast briefing.
Our breakfast briefings provide insight, practical knowledge and information, and act as a forum for sharing views and advice.
The briefings are likely to be of particular value to senior and middle management within financial institutions with responsibility for compliance, capital markets, investment management, legal, risk and trading.
The FCA has said that it has no intention of taking enforcement action against firms for not meeting all the MiFID II requirements straight away where there is evidence that the firm has taken sufficient steps to meet the new obligations by the start-date, 3 January 2018. However, its disposition is likely to be different where firms have made no real or genuine attempt to be ready or where key obligations are deliberately flouted.
The session will include:
- What we have seen in the market since 3 January 2018
- How to do a post-implementation audit
- What do you do when the FCA knocks your door to review your MiFID II implementation?
- Horizon scanning: what do we think is coming
- The Brexit shadow: how does Brexit impact all this?
Further details will be provided in due course.
The briefings count towards SRA continuing competence. There is no charge for attending.
The briefings will be recorded via webcast and are available after the briefing.
For further information please email: firstname.lastname@example.org