MiFID II Briefing Series: FCA discussion paper on MiFID II conduct of business and organisational requirements (Part 4) | Practical Law

MiFID II Briefing Series: FCA discussion paper on MiFID II conduct of business and organisational requirements (Part 4) | Practical Law

This article is the fourth in a series of briefing notes on MiFID II. It looks at the FCA's discussion paper on MiFID II conduct of business and organisational requirements.

MiFID II Briefing Series: FCA discussion paper on MiFID II conduct of business and organisational requirements (Part 4)

by Rob Moulton, Partner, Ashurst Financial Regulation Practice
Law stated as at 22 Apr 2015 • European Union, United Kingdom
This article is the fourth in a series of briefing notes on MiFID II. It looks at the FCA's discussion paper on MiFID II conduct of business and organisational requirements.
Issues discussed include:
  • Structured deposits.
  • Commissions for discretionary investment managers.
  • Client classification.
  • Adviser independence.
  • Taping requirements.
  • Inducements.
  • Appropriateness test for complex and non-complex products.