MiFID II - Complyport UK Consultancy Service

Policy Statement 24/9 – Payment Optionality for Investment Research

Background On 1st August 2024, the FCA introduced new rules for firms wishing to purchase investment research. Previously, the costs of investment research were bundled together with the costs of […] [...]

Money Market Funds Regulations 2018

The Money Market Funds Regulations 2018 (the “UK MMF Regulations”) are made in relation to EU Regulation 2017/1131 on money market funds (“MMF Regulation”) which will apply in the UK […] [...]

FCA Asset Management Conference – Insights

On 12 June, London’s Queen Elizabeth II Centre was home to the FCA Asset Management Conference 2018. The conference began with a keynote speech by Andrew Bailey, the Chief Executive […] [...]

ESMA Guidelines on aspects of MiFID II suitability requirements

The European Securities and Markets Authority (“ESMA”) has published its Final Report on Guidelines on certain aspects of the Markets in Financial Instruments Directive (“MiFID II”) suitability requirements. The assessment […] [...]

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 […] [...]

FCA publishes its Business Plan for 2018/19

Of relevance to: All firms The Financial Conduct Authority (“FCA”) has set out its key priorities for the coming year in its Business Plan for 2018/19, along with its […] [...]

ESMA updated Q&As on Markets in Financial Instruments Directive and Regulation, Market Abuse Regulation, Benchmarks Regulation and Central Securities Depository Regulation

Of relevance to: All firms affected by MiFID/MiFIR, MAR, BMR and/or CSDR Key date: Applicable from 23 March 2018 The European Securities and Markets Authority (“ESMA”) has updated its Questions […] [...]

FCA and PRA multi-firm review on Algorithmic Trading Compliance in Wholesale Markets

Of relevance to: All firms carrying out algorithmic trading in wholesale markets The Financial Conduct Authority (“FCA”) and Prudential Regulation Authority (“PRA”) have been reviewing firms’ algorithmic trading activity and […] [...]

FCA CP18/4 The European Money Market Funds Regulation

Of relevance to: All firms managing and/or marketing, advising on and/or distributing money market funds Key date: Comments to FCA by 23 March 2018 The EU Money Market Funds (“MMF”) […] [...]

MIFID II: One month in

Of relevance to: All Firms impacted by MiFID II The Markets in Financial Instruments Directive II (2014/65/EU) (“MiFID II”) and the Markets in Financial Instruments Regulation (600/2014) (“MiFIR”) repealed and […] [...]

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 […] [...]

LEIs: GLEIF publishes Entity Legal Forms Code List

Of relevance to: Any firm subject to MiFID II transaction reporting obligations Key date: LEIs must be in place by 3 January 2018 The Global Legal Entity Identifier Foundation (GLEIF) […] [...]

Equities Electronic Trading Questionnaire ready for MiFID II

Of relevance to: Buy-side clients who need to request information from electronic trading providers in the European equity markets Key date: Applicable from 3 January 2018 The Association for Financial […] [...]

MiFID II Position Limits

Of relevance to: Any firm with positions in commodity derivative contracts Key date: Applicable from 3 January 2018 The European Securities and Markets Authority (ESMA) has published nine opinions agreeing […] [...]

Unbundling Investment Research costs from Trade Execution costs (US)

Of relevance to: All US sub-advisers to FCA-regulated MiFID managers Key date: Applicable from 3 January 2018 until 3 July 2020 In response to concerns that investors could lose access […] [...]

Investment Research

Of relevance to: Managers of UK UCITS Key date: Has sufficient notice been given to investors for when MiFID II comes into force on 3 January 2018? MiFID II requires […] [...]

Legal Entity Identifiers

Of relevance to: Any firm subject to MiFID II transaction reporting obligations Key date: LEIs must be in place by 3 January 2018 From 3 January 2018, any firm subject […] [...]

Variation of Permission / Authorisation

Of relevance to: Any firms applying for FCA authorisation or Variation of Permission Key date: Applications prior to 31 December 2017 Firms impacted by MiFID II should by now have […] [...]

Benchmarks Regulation

Of Relevance to: Benchmark administrators, firms contributing input data to benchmarks and users of benchmarks Both MiFID II and the Packaged Retail and Insurance-based Investments Products Regulation (“PRIIPs”) means that […] [...]

Tag: MiFID II

Policy Statement 24/9 – Payment Optionality for Investment Research

Money Market Funds Regulations 2018

FCA Asset Management Conference – Insights

ESMA Guidelines on aspects of MiFID II suitability requirements

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

FCA publishes its Business Plan for 2018/19

ESMA updated Q&As on Markets in Financial Instruments Directive and Regulation, Market Abuse Regulation, Benchmarks Regulation and Central Securities Depository Regulation

FCA and PRA multi-firm review on Algorithmic Trading Compliance in Wholesale Markets

FCA CP18/4 The European Money Market Funds Regulation

MIFID II: One month in

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

LEIs: GLEIF publishes Entity Legal Forms Code List

Equities Electronic Trading Questionnaire ready for MiFID II

MiFID II Position Limits

Unbundling Investment Research costs from Trade Execution costs (US)

Investment Research

Legal Entity Identifiers

Variation of Permission / Authorisation

Benchmarks Regulation

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