MiFID - Complyport UK Consultancy Service

Aligning MiFID Services with Part 4A Permissions

The UK’s financial regulatory framework is complicated, with several directives and permissions in place to ensure the integrity of the financial markets. Two important components of this framework are the […] [...]

Investment Research: Evolving Regulations and Implications for the UK Market

Introduction to CP24/7 In July 2023, the UK government published findings from the Investment Research Review (“Review”) as part of the Edinburgh Reforms, aimed at boosting research production to stimulate […] [...]

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 […] [...]

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 […] [...]

Brexit: EC notices issued stating potential consequences relating to UCITS, MiFID and AIFMD

Of relevance to: All firms involved in Asset Management and Markets in Financial Instruments Key date: 30 March 2019 The UK will become a ‘third country’ (being a country that […] [...]

Investment Firms: New Prudential Regime Discussion Paper

Of relevance to: MiFID investment firms, UCITS management companies and AIFMs that conduct permissible MiFID activities, particularly those subject to CRD IV In December 2015 a joint ESMA/EBA report was […] [...]

Advice: Amending the Definition

Of relevance to: Investment advisory firms; all firms undertaking ‘advising on investments’ The publication in March of the ‘Financial Advice Market Review’ (“FAMR”) was the final report on this joint […] [...]

Brexit and its Implications

Brexit and its Implications The votes have been counted and ‘Brexit’ has won the day. The UK electorate has voted 52% to 48% to leave the European Union (EU). The […] [...]

The votes have been counted and ‘Brexit’ has won the day.

The votes have been counted and ‘Brexit’ has won the day. Whilst the Government considers what exactly that means for the UK as a whole, and what needs to be […] [...]

Brexit – What happens if it happens?

The run up to the Brexit vote seems to be heavy on aspirations but light on detail – what might be the implications for the financial services sector. In terms […] [...]

Inducements and Conflicts of Interest: Thematic Review

Of Relevance To: MiFID firms; firms undertaking business in respect of retail investment products Inducements and Conflicts of Interest: Thematic Review In January 2014 the FCA published Finalised Guidance FG14/01 […] [...]

MiFID II Delayed

Of Relevance To Current MiFID firms and those entities falling under the MiFID II regime. MiFID II Delayed The implementation date of the MiFID II framework (both the Directive and […] [...]

MiFID II Wobble

With just over a year to 3 January 2017 Steven Maijoor, the Chair of ESMA, delivered an update on ESMA work in relation to MiFID II to the Economic and […] [...]

MiFID II

Back in November 2011, Regulatory Roundup 36 contained an article on the long-awaited draft for a revised MiFID (MiFID II). Around two and a half years later we have now […] [...]

Remuneration Code – MiFID Version

The consultative guidance on Incentives issued by the FSA (see separate article in the Regulatory Roundup) was followed a couple of weeks later by the publication by ESMA of a […] [...]

MiFID II

The EU Commission has published the long-awaited draft for a revised MiFID (Markets in Financial Instruments Directive) – the current MiFID came into force 1 November 2007. The revised MiFID […] [...]

MiFID Review

It is now over three years since MiFID came into force, the requirements being reflected in the relevant parts of the FSA handbook. In recognition of market developments since that […] [...]

Tag: MiFID

Aligning MiFID Services with Part 4A Permissions

Investment Research: Evolving Regulations and Implications for the UK Market

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

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

Brexit: EC notices issued stating potential consequences relating to UCITS, MiFID and AIFMD

Investment Firms: New Prudential Regime Discussion Paper

Advice: Amending the Definition

Brexit and its Implications

The votes have been counted and ‘Brexit’ has won the day.

Brexit – What happens if it happens?

Inducements and Conflicts of Interest: Thematic Review

MiFID II Delayed

MiFID II Wobble

MiFID II

Remuneration Code – MiFID Version

MiFID II

MiFID Review

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