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Regulation

Survey reveals concerns about MiFID requirements

The ‘best execution’ clause of the European Union Markets in Financial Instruments Directive (MiFID) is causing high concern across the whole spectrum of financial services firms, according to a survey conducted by Complinet.

Interesting read

I was very interested to read Graeme Trudgill's article on the issues surrounding brokers' professio...

Explaining endorsement

Q. My compliance consultants tell me I should explain endorsements to clients. Surely it is up to them to read policies?

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