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Category: Retail News

Complyport UK Consultancy Service > Blog > Retail News
  • 18 May 201827 June 2018
  • European Regulation

FCA retires Finalised Guidance 12/15 and 14/1 on describing advice services and inducements

Of relevance to: All firms providing advice on or distributing retail investment products and financial instruments to retail clients Key date: With immediate effect Two Finalised Guidance publications (FG12/15: Retail […] [...]

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  • 27 March 201826 June 2018
  • Dealing and Execution

ESMA prohibits binary options and restricts CFDs to protect retail investors

Of relevance to: All firms providing contracts for differences and/or binary options to retail investors Key date: Applicable from two months, for CFDs, and one month, for binary options, after […] [...]

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  • 06 December 201726 June 2018
  • European Regulation

UK PRIIPs Regulation published – KIDs required 1 January 2018

Of relevance to: Manufacturers of packaged retail and insurance-based investment products and persons advising on, or selling, those products to retail investors Don’t be caught unawares – if you have staff […] [...]

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  • 30 June 201727 July 2017
  • Latest News

CFDs: FCA Statement

Of relevance to:  Firms offering CFD products Last December the FCA published Consultation Paper CP16/40 “Enhancing conduct of business rules for firms providing contract for difference products to retail clients” […] [...]

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  • 23 June 201721 October 2020
  • European Regulation

Brexit and Fund Managers

Alternative Investment Fund Managers (AIFMs) and MiFID firms need to consider the impact that Brexit will have on their business in the light of recent opinion issued by ESMA to […] [...]

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  • 31 May 201706 December 2017
  • Latest News

PRIIPs: Final FCA Rules

Of Relevance to: Most firms providing investments or investment services to retail investors, including AIFMs, UCITS Management Companies and the Authorised Fund Managers of NURS As advised in Regulatory Roundup […] [...]

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  • 31 May 201715 November 2017
  • Latest News

FCA Review: Suitability

Of Relevance to: Firms providing personal recommendations to retail customers The FCA seems happy with the outcome of a review of suitability it undertook last year which captured 1,142 individual […] [...]

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  • 24 April 201726 June 2018
  • Latest News

PRIIPs: Implementation Date Confirmed

PRIIPs: Implementation Date Confirmed Of Relevance to: Most firms providing investments or investment services to retail investors, including AIFMs, UCITS Management Companies and the Authorised Fund Managers of NURS Firms […] [...]

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  • 30 March 201725 July 2017
  • Latest News

Loan-based Crowdfunding

Of Relevance to: Firms that operate loan-based crowdfunding platforms Those firms operating loan-based crowdfunding platforms – and specifically ones which facilitate loans to lending businesses – should have received, and […] [...]

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  • 28 February 201725 July 2017
  • Latest News

PRIIPs – Joint Consultation

Of Relevance to: Most firms providing investments or investment services to retail investors, including AIFMs, UCITS Management Companies and Authorised Fund Managers of NURS A joint EBA/EIOPA/ESMA consultation paper (JC […] [...]

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  • 19 December 201625 July 2017
  • Latest News

Crowdfunding: FCA Interim Report

Of Relevance to: Firms offering crowdfunding Responses to its ‘call for input’ in July of this year on crowdfunding has left the FCA feeling that there is evidence of potential […] [...]

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  • 19 December 201625 July 2017
  • Latest News

FSCS Review

Of Relevance to; All firms, particularly those with clients that qualify as ‘eligible claimants’ The FCA has published consultation paper CP16/42 “Reviewing the funding of the Financial Services Compensation Scheme […] [...]

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  • 07 December 201625 July 2017
  • Corporate Governance

CFDs – Enhanced Conduct of Business Rules

Of Relevance to: Firms providing and/or distributing retail CFD products (and binary options) Given the concerns that the FCA has previously expressed on the distribution of contracts for difference (“CFD”) […] [...]

Read More
  • 14 November 201625 July 2017
  • Latest News

PRIIPs: Implementation Delay Confirmed

Of relevance to: Most firms providing investments or investment services to retail investors, including AIFMs, UCITS Management Companies and the Authorised Fund Managers of NURS As advised in Regulatory Roundup […] [...]

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  • 31 October 201615 November 2017
  • Latest News

CFDs and other Speculative Products

Of relevance to: Firms involved in CFDs and similar products such as binary options and rolling spot forex ESMA has updated its Q&As on ‘the provision CFDs and other speculative […] [...]

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  • 30 September 2016
  • Latest News

Activities and Exam Qualifications

Of relevance to: Firms and their employees where appropriate qualifications are required under TC The title of the FCA’s latest Consultation Paper CP16/24 “Review of the FCA’s appropriate qualification exam […] [...]

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  • 28 September 201629 September 2016
  • European Regulation

PRIIPs Delay

Of relevance to: Most firms providing investment or investment services to retail investors, including AIFMs, UCITS Management Companies and the Authorised Fund Managers of NURS The July edition of the […] [...]

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  • 26 July 201615 November 2017
  • Latest News

CFDs and Speculative Products and Appropriateness

Of Relevance to: Firms involved in CFDs and similar speculative products such as binary options and rolling spot forex and to firms in general that need to undertake appropriateness testing. […] [...]

Read More
  • 22 May 201623 June 2016
  • GRC Issues

Data Breaches and GDPR

In the last few weeks alone, we have seen massive password files allegedly posted online from LinkedIn (117 million users in June), Twitter (32 million users in June) and MySpace […] [...]

Read More
  • 20 May 201624 May 2016
  • Latest News

FCA Bans Compliance Officer for Life

The Financial Conduct Authority has banned Mr Peter Johnson, former compliance officer of Keydata Investment Services Ltd, from performing any function in relation to any regulated financial activity and publicly […] [...]

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INSIGHTS & EXPERTISE

Proactive monitoring and assessment of international Regulatory News and Industry Developments.
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The Regulatory Gateway for Financial Promotions is Here

  • Navigating KYC Challenges in 2024: Insights from the Q&A Session

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Navigating KYC Challenges in 2024: Insights from the Q&A Session

  • Webinar Recording – KYC: Challenges Around KYC and Best Practices for 2024

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Webinar Recording – KYC: Challenges Around KYC and Best Practices for 2024

  • Navigating the Financial Promotions Gateway Ahead of the FCA Deadline, 7th February 2024

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Navigating the Financial Promotions Gateway Ahead of the FCA Deadline, 7th February 2024

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