December, 2017 - Complyport UK Consultancy Service

LSE requires all those with securities admitted to trading on AIM to have a Legal Entity Identifier

Of relevance to: All firms having dealings on or with the London Stock Exchange’s AIM Key date: Applicable from 3 January 2018 The London Stock Exchange (“LSE”) requires all AIM […] [...]

AIM – SME Growth Market Application and consequences for Insider Lists under MAR

Of relevance to: All firms having dealings on or with the London Stock Exchange’s AIM and anyone keeping insider lists under MAR Key date: Applicable from 3 January 2018 The […] [...]

FCA proposing to automatically convert individuals from the Approved Persons Regime to the Senior Managers and Certification Regime

Of relevance to: All firms regulated by the Financial Conduct Authority (“FCA”) Key date: Consultation closes 21 February 2018; implementation in late 2018 for Insurers and in mid-to-late 2019 for solo-regulated […] [...]

Month: December 2017

LSE requires all those with securities admitted to trading on AIM to have a Legal Entity Identifier

AIM – SME Growth Market Application and consequences for Insider Lists under MAR

FCA proposing to automatically convert individuals from the Approved Persons Regime to the Senior Managers and Certification Regime

Firms may provide projections to retail investors in addition to PRIIPs KIDs

LEIs: GLEIF publishes Entity Legal Forms Code List

UK PRIIPs Regulation published – KIDs required 1 January 2018

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