Retail News - Complyport UK Consultancy Service

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 […] [...]

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 […] [...]

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 […] [...]

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” […] [...]

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 […] [...]

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 […] [...]

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 […] [...]

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 […] [...]

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 […] [...]

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 […] [...]

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 […] [...]

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 […] [...]

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”) […] [...]

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 […] [...]

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 […] [...]

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 […] [...]

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 […] [...]

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. […] [...]

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 […] [...]

Category: Retail News

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

ESMA prohibits binary options and restricts CFDs to protect retail investors

UK PRIIPs Regulation published – KIDs required 1 January 2018

CFDs: FCA Statement

Brexit and Fund Managers

PRIIPs: Final FCA Rules

FCA Review: Suitability

PRIIPs: Implementation Date Confirmed

Loan-based Crowdfunding

PRIIPs – Joint Consultation

Crowdfunding: FCA Interim Report

FSCS Review

CFDs – Enhanced Conduct of Business Rules

PRIIPs: Implementation Delay Confirmed

CFDs and other Speculative Products

Activities and Exam Qualifications

PRIIPs Delay

CFDs and Speculative Products and Appropriateness

FCA Bans Compliance Officer for Life

INSIGHTS & EXPERTISE

NEWS & EVENTS

Webinar: Beyond Compliance: What the 2025 Consumer Duty Report Tells Us

Webinar: Unlocking the Power of ViCA, Your AI-Powered Virtual Compliance Assistant

Online Training Course: Your MLRO Training Day

Webinar: Navigating the IFPR Impact: Good and Poor Practices Observed

In-Person Training Course: Your MLRO Training Day

In-Person Training Course: Your MLRO Training Day

Subscribe for Exclusive Regulatory News and Updates

Member of:

Accredited by:

Member of:

Accredited by:

Global Offices

Complyport (UK)

Complyport (UAE)

Complyport (EU)

Connect With Us