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Regulatory expectations around Fundamental Rule 7 / Principle 11 notifications

  • Bank of America Merrill Lynch - King Edward Hall 2 King Edward Street London, England, EC1A 1HQ United Kingdom (map)


Claire Edwards,
EMEA Head of Compliance Regulatory Management and Change, J.P. Morgan,

Member of SHCOG Steering Committee


Rob Moulton
, Partner, Latham & Watkins

 The discussions will cover:

  • Notification requirements and the expectations of the PRA and FCA

  • How expectations have changed over time

  • Compliance's role in relation to Principle 11 / Fundamental Rule 7

  • Legal considerations in relation to the notification requirements

  • Expectations / responsibilities of Senior Managers

  • Application of the notification requirements in certain specific circumstances and the associated challenges

Earlier Event: 25 May
MiFID II - Product Governance
Later Event: 9 August
MiFID II - Unbundling of Research