Archive for the ‘compliance’ Category

Compliance Concerns in CFD and Financial Spread Betting Firms – (MiFID)

Jul 5

The inspection examined firms’ compliance with certain conduct of business requirements of MiFID (Markets in Financial Instruments Directive) Regulations including procedures for accepting clients and the quality and type of information provided to clients and potential clients. Four firms were inspected and approximately eighty files were reviewed. The inspection found that none of the firms […]

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