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Feb 16, 2023 •439 likes •847 views

clarkewillmott.com Crisis on Wall Street as Lehman totters, Merril is sold and AIG seeks to raise cash Crisis on Wall Street as Lehman totters, Merril is sold and AIG seeks to raise cash Wall St Street t wo worries es could ld wr

  1. clarkewillmott.com

  3. Crisis on Wall Street as Lehman totters, Merril is sold and AIG seeks to raise cash

  4. Crisis on Wall Street as Lehman totters, Merril is sold and AIG seeks to raise cash

  8. Wall St Street t wo worries es could ld wr wreak havo voc on ma marke kets ts

  9. Wal all Stre l Street et wo worri rries es cou could ld wr wrea eak k ha havoc voc on on mar markets kets

  12. FTSE SE 10 100 0 fa fall lls s be belo low w 5, 5,00 000

  13. FTSE FTSE 100 100 fal falls ls be below low 5,0 5,000 00

  16. Central banks inject $184bn

  17. Central banks inject $184bn

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  23. MiFID II clarkewillmott.com

  24. Banking Crisis clarkewillmott.com

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  26. Shares, money market instruments, CIS and financial derivatives Investor protection measures for structured deposits Adviser independence Remuneration rules Recording of telephone conversations and electronic communications Costs and charges disclosure Inducements clarkewillmott.com

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  28. Investor protection measures for structured deposits clarkewillmott.com

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  30. Adviser independence “sufficient range of different product providers’ products…prior to making a personal recommendation ” clarkewillmott.com

  31. Adviser independence “sufficient range” “thorough search of the whole market” clarkewillmott.com

  32. Adviser independence FCA independence requirement applies to retail investment products Structured Insurance-based deposits Structured investment Shares products products UCIS Derivatives UCITS Pension Bonds products MiFID II independence standard applies to financial instruments clarkewillmott.com

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  34. Remuneration rules Principle 3 Remuneration code clarkewillmott.com

  35. Remuneration rules “Properly consider if their incentive schemes increase the risk of mis- selling and, if so, how” “review whether their governance and controls are adequate” “take action to address any inadequacies” “where risks cannot be mitigated, take action to change their scheme, and where a reoccurring problem is identified, investigate, take action and pay redress where consumers have suffered detriment” clarkewillmott.com

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  37. Recording of telephone conversations and electronic communications “transactions concluded on own account” “reception, transmission and execution of client orders” “conversations that are intended to result in a transaction” clarkewillmott.com

  38. Costs and charges disclosure clarkewillmott.com

  39. Inducements clarkewillmott.com

  40. Philippa Hann Partner T: 0845 209 1450 E: Philippa.Hann@clarkewillmott.com clarkewillmott.com

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