We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

This paper sets out our likely proposals for implementing the MiFID client categorisation provisions and opens discussion on the issues arising including the definition of 'client'. Member States are ...

The FSA’s conduct of business rules to protect investors requires different definitions depending on the type of customer regarding levels of knowledge, skill and expertise. Clients will be placed in ...

Unlimited access to real-time news, analysis and opinion from the investment industry, including the Sustainable Hub covering fund news from the ESG space Get ahead of regulatory and technological ...