Bovill Briefing Notes are intended to provide our clients and others with a brief practical overview of key regulatory developments which affect them and which may call for some action on their part.
The following notes are currently available and new ones will be added over the coming months. Please do not hesitate to contact us if you would like any further information on any of these subjects.
Arrow II (March 2008) (PDF document - 125kB)
Best Execution Under MiFID (June 2007) (PDF document - 103kB)
Changes To The Approved Persons And Training & Competence Regimes (May 2007) (PDF document - 103kB)
Client Agreements Under MiFID And NEWCOB (March 2007) (PDF document - 105kB)
Complaints and Root Cause Analysis (January 2008) (PDF document - 119kB)
Conflicts Of Interest Under MiFID (May 2007) (PDF document - 102kB)
Customer Classification Under MiFID (December 2006) (PDF document - 108kB)
Integrated Regulatory Reporting (April 2008) (PDF document - 125kB)
Internal Capital Adequacy Assessment Process (ICAAP) (November 2007) (PDF document - 122kB)
Prudential Rules And Regulatory Reporting For Exempt CAD Firms (April 2007) (PDF document - 110kB)
Suitability And The Appropriateness Test Under MiFID (January 2007) (PDF document - 117kB)
Systems And Controls Requirements: The "Common Platform" (January 2007) (PDF document - 108kB)
Third Money Laundering Directive (May 2008) (PDF document - 124kB)
Treating Customers Fairly (December 2007) (PDF document - 118kB)
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