The Wholesale Markets Brokers' Association and it's sister association, the London Energy Brokers' Association, and their members participated in the industry-wide consultation process on the implementation of MiFID in November 2007. During this process, the WMBA and LEBA Compliance Working Group developed guidelines following consultation with the European Commission, Her Majesty's Treasury, the Financial Services Authority, as well as with internal and external legal counsel. A list of these guidelines can be found below.
WMBA and LEBA has also replied to the Consultation paper in respect of MiFID2 and this response can be found here.
Should you require any further information, please do not hesitate to contact us on 020 3207 9740 or alternatively email us at compliance@leba.org.uk.