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Occasional Papers 2007

We occasionally bring you interesting and relevant articles about an aspect of the work we do. These bulletins cover matters which are too lengthy to be included in our regularly publications; require more detailed analysis; or cover the material in a more in-depth manner. If you would like to receive details of our regular publication service, covering institutional issues, international issues and issues relevant to UK retail firms please contact us.

July 07 Review of the Capital Rules for Personal Investment Firms
June 07 Retail Distribution Review
June 07 COB regime: Non-MiFID deferred matters and telephone recording
Feb 07 Treating Customers Fairly within Institutional Firms
Feb 07 Changes to the DISP sourcebook under MiFID: The impact on firms
Jan 07 MiFID - COB Changes for Institutional Firms
Jan 07 Companies Act 2006

 

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