A joint industry response was submitted on 2007-03-16 on CESR’s consultation on MiFID Best Execution.
Archive for the 'LIBA' Category
Joint industry response on CESR’s consultation on MiFID Best Execution
Published by March 23rd, 2007 in www.nordicsecurities.org, Sweden, Denmark, Norway, Finland, Iceland, DSDA (DK), SSDA (SE), FASD (FI), BSDA (IS), United Kingdom (UK), NSDA (NO), Nordic Countries in common, LIBA, Germany, CESR, bwf and MiFID Connect. 0 CommentsJoint UK industry response on Conduct of Business Regulation and Financial Promotion
Published by March 23rd, 2007 in www.nordicsecurities.org, United Kingdom (UK), FSA (UK), LIBA and MiFID Connect. 0 CommentsA joint UK industry response was submitted on 2007-02-23 to the FSA on CP 06/19 and CP06/20 regarding reforming Conduct of Business Regulation .
Joint industry response on CESR’s consultation on Transaction Reporting
Published by March 23rd, 2007 in www.nordicsecurities.org, Sweden, Denmark, Norway, Finland, Iceland, Other countries, DSDA (DK), SSDA (SE), FASD (FI), BSDA (IS), United Kingdom (UK), NSDA (NO), Nordic Countries in common, EU, LIBA, Germany, BDB and CESR. 0 CommentsA joint industry response was submitted on 2007-03-02 to CESR’s proposal on Transaction Reporting. CESR’s consultation paper is found on www.cesr.eu under consultations.
Joint responses on CESR’s consultations on Inducements and Home/host surveillance
Published by March 23rd, 2007 in www.nordicsecurities.org, Sweden, Denmark, Norway, Finland, Iceland, DSDA (DK), SSDA (SE), FASD (FI), BSDA (IS), United Kingdom (UK), NSDA (NO), Nordic Countries in common, LIBA, Germany, CESR and bwf. 0 CommentsTwo joint industry responses were submitted 2007-02-09 to CESR on Inducements and on Pass porting and Home/host country surveillance. CESR’s documents are to be found on www.cesr.eu consultations.
Joint response to CESR’s consultation on Inducements and Passport under MiFID
Published by February 12th, 2007 in www.nordicsecurities.org, Sweden, Denmark, Norway, Finland, Iceland, DSDA (DK), SSDA (SE), FASD (FI), United Kingdom (UK), NSDA (NO), LIBA, Germany and bwf. 0 CommentsA joint industry response was sent on 2007-02-09 to CESR on its consultation on Inducements and Passport under MiFID.
Joint industry response on CESR’s consultation on MiFID market transparency data
Published by February 8th, 2007 in www.nordicsecurities.org, Sweden, Norway, Finland, SSDA (SE), FASD (FI), BSDA (IS), United Kingdom (UK), NSDA (NO), LIBA and CESR. 0 CommentsA joint industry response was submitted 2006-12-15 to CESR’s consultation on publication and consolidation of MIFID market transparency.
Joint industry response to CESR consultation on L3 work on minimum list of records
Published by December 11th, 2006 in www.nordicsecurities.org, Sweden, Denmark, Norway, Finland, Iceland, DSDA (DK), SSDA (SE), FASD (FI), BSDA (IS), United Kingdom (UK), NSDA (NO), EU, LIBA, Germany, BDB and CESR. 0 CommentsLIBA and joint associations, including the Nordic associations, have responded on 2006-11-27 to the CESR MiFID L3 consultation on the list of minimum records in Article 51(3) of the MiFID implementing Directive.
LIBA and other London based associations have responded to the FSA (UK) on COB
Published by November 29th, 2006 in www.nordicsecurities.org, United Kingdom (UK) and LIBA. 0 CommentsThe FSA (UK) published by end of October 2006 radical proposals for move to principles-based regulation that refers to MiFID. Details of the proposed NEWCOB (New Conduct of Business Rules of the FSA Handbook) are set out in CP06/19 : ‘Reforming Conduct of Business Regulation’ with Annex and CP06/20: ‘Financial promotion and other communications’.
LIBA, AFB, FOA, ICMA, ISDA, and […]
CESR adopts MiFID L3 work programme and consults on market transparency and records
Published by October 23rd, 2006 in www.nordicsecurities.org, Sweden, Denmark, Norway, Finland, Iceland, DSDA (DK), SSDA (SE), FASD (FI), BSDA (IS), United Kingdom (UK), NSDA (NO), Nordic Countries in common, EU, LIBA and CESR. 0 CommentsCESR adopted on 2006-10-20 its MIFID Level 3 programme, and published two consultation papers relating to MIFID implementation:
(1) Publication and consolidation of market transparency information with response deadline 2006-12-15 and (2) Minimum list of records with response deadline 2006-11-27. All the documents are accessible via this link
Earlier this year CESR published a call for evidence on consolidation of market transparency information. LIBA jointly […]
FSA (UK) CP 06/9 Organisational systems and controls (SYSC)
Published by October 10th, 2006 in www.nordicsecurities.org, United Kingdom (UK), FSA (UK) and LIBA. 0 CommentsFSA (UK) published in May 2006 a consultation paper CP 06/9 Organisational systems and controls (SYSC) regarding a common platform for firms to comply with commensurate provisions in CRD (Capital Requirements Directive) and in MiFID. CP 06/9 covers MiFID issues such as Organisational Requirements, Employees, Agents, Compliance, Internal Audit, Risk Control, Outsourcing, Record Keeping and […]
French guidance on Best Execution issued by the regulator AMF
Published by October 10th, 2006 in www.nordicsecurities.org, Other countries, United Kingdom (UK), France (FR) and LIBA. 0 CommentsAMF (Autourité des Marchés Financiers), the French regulator, issued 2006-08-04 for consultation until end of October 2006 a proposal for a Guidance (English version) on Best Execution for response by end October 2006.
AFEI (Association Francaise des Enterprises d’Investissement) has responded to AMF: AFEI response to AMF on Best Execution
Response to AMF by ICMA (International Capital Market Association), ISDA (International Swaps and […]
EC - MiFID pre- and post trade transparency provisions for non-equities - call for evidence
Published by October 9th, 2006 in www.nordicsecurities.org, Sweden, Denmark, Norway, Finland, Iceland, DSDA (DK), SSDA (SE), FASD (FI), BSDA (IS), United Kingdom (UK), NSDA (NO), Nordic Countries in common, EU, LIBA and EC. 0 Comments EC published 2006-06-12 a call for evidence on pre- and post trade transparency provisions of MiFID in relation to transactions in classes of financial instruments other than shares, see EC call for evidence - market transparency
LIBA and several other trade associations among them the Nordic associations responded on 2006-09-15. (Joint response of 13 trade associations).
LIBA along with […]
FSA (UK) DP 06/3 Implementing MiFID’s best execution requirements
Published by October 6th, 2006 in www.nordicsecurities.org, United Kingdom (UK), FSA (UK) and LIBA. 0 CommentsFSA (UK) published in May 2006 a discussion paper DP 06/3 “Implementing MiFID’s best execution requirements”,
LIBA and other UK based trade associations responded, see Response to FSA DP 06/3 best execution
CESR work programme for MiFID Level 3 work
Published by October 6th, 2006 in www.nordicsecurities.org, Sweden, Denmark, Norway, Finland, Iceland, DSDA (DK), SSDA (SE), FASD (FI), BSDA (IS), United Kingdom (UK), NSDA (NO), Nordic Countries in common, EU, LIBA and CESR. 0 CommentsCESR published on 2006-07-18 a draft work programme for its MiFID Level 3 work.
LIBA and other Trade Associations including the five Nordic securities dealers associations responded on 2006-09-11, Response: CESR public consultation on its draft work programme for MIFID Level 3 work.
