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Mid-tier Firms' MiFID Deadlines – 'Express Consent is the Biggest Issue' - At a recent meeting of mid-tier financial firms, gaining express prior consent was considered the biggest MiFID challenge before the November deadline
Mid-tier Firms' MiFID Deadlines – 'Express Consent is the Biggest Issue'

 

NewswireToday - /newswire/ - London, Greater London, United Kingdom, 2007/08/22 - At a recent meeting of mid-tier financial firms, gaining express prior consent was considered the biggest MiFID challenge before the November deadline.

   
 
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Firms are required to gain consent from clients for off-market trades, changes to terms and conditions and changes to categorisation to comply with the forthcoming European directive.

Some firms were worried about never gaining consent from some clients. Organisations represented planned to make "best efforts" to gain express consent with written and telephone follow-ups but also acknowledged the need to continue trading on a client's behalf.

As the November deadline approaches, the Financial Services Discussion Club is running three roundtable discussion forums to discuss topical MiFID issues. The forums are aimed at mid-tier firms. There will be two groups; one for buy-side and one for sell-side firms. Topics on the agenda for next meeting in September include: FSA enforcement, execution venues, phone recording, transaction reporting, best execution and client communications.

Richard Walbach from Clearconcepts, which administers the Financial Services Discussion Club said, "MiFID has highlighted the need for industry cooperation, and the chance to discuss critical issues with peers can be invaluable."

• The Financial Services Discussion Club is administered by Clearconcepts. It provides a forum for the discussion of topical issues and exchange of ideas.

• The club runs a number of special interest groups that meet each month:

- Retail Finance - London
- Retail Finance - Manchester/Leeds
- Retail Finance - Edinburgh
- Retail Finance - Asset Management - London
- Retail Finance - Complaints Handling - London
- Retail Finance - Complaints Handling - Manchester
- MiFID - Asset Management - London
- MiFID - Investment Banking - London
- MiFID - Mid-Tier Asset Management - London
- MiFID - Mid-Tier Investment Banking - London

• Clearconcepts (clearconcepts.co.uk) is an independent communications house focused on the financial services sector. It specialises in market research, events planning and public relations.

 
 
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Written by / Agency / Source: Clearconcepts

 
 

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Mid-tier Firms' MiFID Deadlines – 'Express Consent is the Biggest Issue'

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Publisher Contact: Chery Yeandle - Clearconcepts.co.uk 
+44(0)20 7405 0065 cherry.yeandle[.]clearconcepts.co.uk
 
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IMPORTANT INFORMATION: Issuance, publication or distribution of this press release in certain jurisdictions could be subject to restrictions. The recipient of this press release is responsible for using this press release and the information herein in accordance with the applicable rules and regulations in the particular jurisdiction. This press release does not constitute an offer or an offering to acquire or subscribe for any Clearconcepts securities in any jurisdiction including any other companies listed or named in this release.

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