logo
Menu
  • About
    • About us
    • Management
    • Our Group
    • Career
      • Work with us
      • Graduate Training Programme
    • Global Reach
    • CSR
  • Sectors
  • Services
    • Authorisations & Applications
      • FCA & PRA Authorisations
      • FCA Interview Preparation
      • FCA Perimeter Guidance
      • FCA Sandbox
      • HMRC Registrations
      • Change in Control
      • Variation of Permission
      • EU & International Authorisations
    • Compliance Support & Advisory
      • AR Monitoring Services
      • Consumer Duty
      • Ongoing Compliance Support
      • Governance, Risk & Compliance
      • SMCR Support Services
      • Retail Financial Services Compliance
      • Financial Promotion Compliance Support
      • Investment Firm Prudential Regime Support
      • Pension Switching & DB Pension Transfers
    • KYC/AML Managed Services
      • Compliance Staff Solutions
      • Outsourced Solutions
      • Remediation Solutions
    • Financial Crime
      • AML Health Checks
      • HMRC Supervision
      • AML Policies, Procedures & Controls
      • Financial Crime Assurance Review
      • BWRA Support
      • Rep-Crim
      • KYC/CDD/EDD
      • AML Training
      • Annual Retainer
      • Sanctions Framework Review
    • Internal Audit & Health Checks
      • Compliance Health Checks
      • Thematic Reviews
    • Skilled Person s166 & Expert Witness
      • Expert Witness
      • Skilled Person Reviews & Regulatory Investigations (Section 166)
    • Compliance Resourcing
      • Compliance Resourcing Solutions
      • DPO Support As a Service
    • Operational Resilience
      • FCA Operational Resilience Policy (PS21/3)
      • IT and Cybersecurity Audit
      • REP018 Operational & Security Risk Report
      • SOC 2 Compliance
      • DORA
    • Prudential & Regulatory Reporting
      • Risk Management Consulting
      • Prudential Advice & Support
      • MIFIDPRU 8 Disclosures Support
      • ICARA Support Services
      • IFPR
      • AIFMD Reporting
      • RegData Support Services
    • Insurance Advisory
    • Trade and Transaction Reporting Solutions
      • EMIR, MiFIR & SFTR Transaction Reporting
      • EMIR, MiFIR & SFTR Advisory Support
    • ESG Services
    • Digital & Operational Transformation Consulting
    • Training
      • Executive Training
      • MLRO Training
      • FCA Interview Preparation
      • eLearning Platform
  • Technology
    • ViCA
    • ComplyPortal
    • MAP FinTech
    • Compliance Monitoring & Learning Solution (CLMS)
  • Resources
    • Insights & Articles
    • Upcoming Webinars & Events
    • Webinars on Demand
    • Library
  • Contact
Menu
  • Search
Get a Quote
logo
Menu
  • About
    • About us
    • Management
    • Our Group
    • Career
      • Work with us
      • Graduate Training Programme
    • Global Reach
    • CSR
  • Sectors
  • Services
    • Authorisations & Applications
      • FCA & PRA Authorisations
      • FCA Interview Preparation
      • FCA Perimeter Guidance
      • FCA Sandbox
      • HMRC Registrations
      • Change in Control
      • Variation of Permission
      • EU & International Authorisations
    • Compliance Support & Advisory
      • AR Monitoring Services
      • Consumer Duty
      • Ongoing Compliance Support
      • Governance, Risk & Compliance
      • SMCR Support Services
      • Retail Financial Services Compliance
      • Financial Promotion Compliance Support
      • Investment Firm Prudential Regime Support
      • Pension Switching & DB Pension Transfers
    • KYC/AML Managed Services
      • Compliance Staff Solutions
      • Outsourced Solutions
      • Remediation Solutions
    • Financial Crime
      • AML Health Checks
      • HMRC Supervision
      • AML Policies, Procedures & Controls
      • Financial Crime Assurance Review
      • BWRA Support
      • Rep-Crim
      • KYC/CDD/EDD
      • AML Training
      • Annual Retainer
      • Sanctions Framework Review
    • Internal Audit & Health Checks
      • Compliance Health Checks
      • Thematic Reviews
    • Skilled Person s166 & Expert Witness
      • Expert Witness
      • Skilled Person Reviews & Regulatory Investigations (Section 166)
    • Compliance Resourcing
      • Compliance Resourcing Solutions
      • DPO Support As a Service
    • Operational Resilience
      • FCA Operational Resilience Policy (PS21/3)
      • IT and Cybersecurity Audit
      • REP018 Operational & Security Risk Report
      • SOC 2 Compliance
      • DORA
    • Prudential & Regulatory Reporting
      • Risk Management Consulting
      • Prudential Advice & Support
      • MIFIDPRU 8 Disclosures Support
      • ICARA Support Services
      • IFPR
      • AIFMD Reporting
      • RegData Support Services
    • Insurance Advisory
    • Trade and Transaction Reporting Solutions
      • EMIR, MiFIR & SFTR Transaction Reporting
      • EMIR, MiFIR & SFTR Advisory Support
    • ESG Services
    • Digital & Operational Transformation Consulting
    • Training
      • Executive Training
      • MLRO Training
      • FCA Interview Preparation
      • eLearning Platform
  • Technology
    • ViCA
    • ComplyPortal
    • MAP FinTech
    • Compliance Monitoring & Learning Solution (CLMS)
  • Resources
    • Insights & Articles
    • Upcoming Webinars & Events
    • Webinars on Demand
    • Library
  • Contact
Get a Quote
Menu
  • Search

Tag: PRIIPs

Complyport UK Consultancy Service > PRIIPs
  • 21 June 201821 October 2020
  • European Regulation

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 […] [...]

Read More
  • 20 April 201821 October 2020
  • Corporate Governance

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 […] [...]

Read More
  • 13 December 201712 January 2018
  • Latest News

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

Of relevance to: Manufacturers of packaged retail and insurance-based investment products and persons advising on, or selling, those products to retail investors. Key date: Applicable from 1 January 2018 Following […] [...]

Read More
  • 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 […] [...]

Read More
  • 31 July 201706 December 2017
  • European Regulation

PRIIPs: Key Information Document Guidelines

At its heart, the Packaged Retail and Insurance-based Investment Products Regulation (“PRIIPs Regulation”) requires retail investors to be provided with a PRIIPS Key Information Document (“KID”) as per Articles 5 and […] [...]

Read More
  • 29 June 201715 November 2017
  • European Regulation

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 […] [...]

Read More
  • 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 […] [...]

Read More
  • 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 […] [...]

Read More
  • 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 […] [...]

Read More
  • 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 […] [...]

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 […] [...]

Read More
  • 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 […] [...]

Read More
  • 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 […] [...]

Read More
  • 25 July 201602 August 2016
  • Latest News

PRIIPs: Are you ready?

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

Read More
  • 30 October 201525 May 2016
  • Latest News

Disclosure Requirements

The FCA’s commitment to create a sustainable regulatory framework – and recognition that overloading consumers with information that may be complex and poorly presented can lead to people making poor […] [...]

Read More
  • 15 January 201528 June 2016
  • Latest News

PRIIPs

Regulation 1286/2014 on the provision of Key Information Documents (KID) for Packaged Retail and Insurance-based Investment Products (PRIIPs) came into force on 29 December 2014 – although it will not […] [...]

Read More
  • 19 December 201429 July 2016
  • Latest News

Product Information New Regulation

New European Regulation aimed to provide adequate, and consistent, information to a retail investor before an investment is made comes into force on 29 December 2014 – although it will […] [...]

Read More

INSIGHTS & EXPERTISE

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

toparrow

The Regulatory Gateway for Financial Promotions is Here

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

toparrow

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

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

toparrow

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

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

toparrow

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

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

logo
Established in 2001, Complyport combines former regulators, industry practitioners and legally qualified individuals to offer our clients an unparalleled, professional team.

Subscribe for Exclusive Regulatory News and Updates

Please enable JavaScript in your browser to complete this form.
Loading
Menu
  • About
    • About us
    • Management
    • Our Group
    • Career
      • Work with us
      • Graduate Training Programme
    • Global Reach
    • CSR
  • Sectors
  • Services
    • Authorisations & Applications
      • FCA & PRA Authorisations
      • FCA Interview Preparation
      • FCA Perimeter Guidance
      • FCA Sandbox
      • HMRC Registrations
      • Change in Control
      • Variation of Permission
      • EU & International Authorisations
    • Compliance Support & Advisory
      • AR Monitoring Services
      • Consumer Duty
      • Ongoing Compliance Support
      • Governance, Risk & Compliance
      • SMCR Support Services
      • Retail Financial Services Compliance
      • Financial Promotion Compliance Support
      • Investment Firm Prudential Regime Support
      • Pension Switching & DB Pension Transfers
    • KYC/AML Managed Services
      • Compliance Staff Solutions
      • Outsourced Solutions
      • Remediation Solutions
    • Financial Crime
      • AML Health Checks
      • HMRC Supervision
      • AML Policies, Procedures & Controls
      • Financial Crime Assurance Review
      • BWRA Support
      • Rep-Crim
      • KYC/CDD/EDD
      • AML Training
      • Annual Retainer
      • Sanctions Framework Review
    • Internal Audit & Health Checks
      • Compliance Health Checks
      • Thematic Reviews
    • Skilled Person s166 & Expert Witness
      • Expert Witness
      • Skilled Person Reviews & Regulatory Investigations (Section 166)
    • Compliance Resourcing
      • Compliance Resourcing Solutions
      • DPO Support As a Service
    • Operational Resilience
      • FCA Operational Resilience Policy (PS21/3)
      • IT and Cybersecurity Audit
      • REP018 Operational & Security Risk Report
      • SOC 2 Compliance
      • DORA
    • Prudential & Regulatory Reporting
      • Risk Management Consulting
      • Prudential Advice & Support
      • MIFIDPRU 8 Disclosures Support
      • ICARA Support Services
      • IFPR
      • AIFMD Reporting
      • RegData Support Services
    • Insurance Advisory
    • Trade and Transaction Reporting Solutions
      • EMIR, MiFIR & SFTR Transaction Reporting
      • EMIR, MiFIR & SFTR Advisory Support
    • ESG Services
    • Digital & Operational Transformation Consulting
    • Training
      • Executive Training
      • MLRO Training
      • FCA Interview Preparation
      • eLearning Platform
  • Technology
    • ViCA
    • ComplyPortal
    • MAP FinTech
    • Compliance Monitoring & Learning Solution (CLMS)
  • Resources
    • Insights & Articles
    • Upcoming Webinars & Events
    • Webinars on Demand
    • Library
  • Contact
Menu
  • Terms and Conditions
  • Client Disclosures
  • Anti-Slavery Policy
  • CSR and ESG Policy
  • Privacy Policy
  • Cookie Policy

Member of:

apcc-41x48-1-1

Accredited by:

fsqs-logo-1-1
cyberessentials_certification-mark_colour-1-1
logo
Established in 2001, Complyport combines former regulators, industry practitioners and legally qualified individuals to offer our clients an unparalleled, professional team.

Member of:

apcc-41x48-1-1

Accredited by:

fsqs-logo-1-1
cyberessentials_certification-mark_colour-1-1
Menu
  • About
    • About us
    • Management
    • Our Group
    • Career
      • Work with us
      • Graduate Training Programme
    • Global Reach
    • CSR
  • Sectors
  • Services
    • Authorisations & Applications
      • FCA & PRA Authorisations
      • FCA Interview Preparation
      • FCA Perimeter Guidance
      • FCA Sandbox
      • HMRC Registrations
      • Change in Control
      • Variation of Permission
      • EU & International Authorisations
    • Compliance Support & Advisory
      • AR Monitoring Services
      • Consumer Duty
      • Ongoing Compliance Support
      • Governance, Risk & Compliance
      • SMCR Support Services
      • Retail Financial Services Compliance
      • Financial Promotion Compliance Support
      • Investment Firm Prudential Regime Support
      • Pension Switching & DB Pension Transfers
    • KYC/AML Managed Services
      • Compliance Staff Solutions
      • Outsourced Solutions
      • Remediation Solutions
    • Financial Crime
      • AML Health Checks
      • HMRC Supervision
      • AML Policies, Procedures & Controls
      • Financial Crime Assurance Review
      • BWRA Support
      • Rep-Crim
      • KYC/CDD/EDD
      • AML Training
      • Annual Retainer
      • Sanctions Framework Review
    • Internal Audit & Health Checks
      • Compliance Health Checks
      • Thematic Reviews
    • Skilled Person s166 & Expert Witness
      • Expert Witness
      • Skilled Person Reviews & Regulatory Investigations (Section 166)
    • Compliance Resourcing
      • Compliance Resourcing Solutions
      • DPO Support As a Service
    • Operational Resilience
      • FCA Operational Resilience Policy (PS21/3)
      • IT and Cybersecurity Audit
      • REP018 Operational & Security Risk Report
      • SOC 2 Compliance
      • DORA
    • Prudential & Regulatory Reporting
      • Risk Management Consulting
      • Prudential Advice & Support
      • MIFIDPRU 8 Disclosures Support
      • ICARA Support Services
      • IFPR
      • AIFMD Reporting
      • RegData Support Services
    • Insurance Advisory
    • Trade and Transaction Reporting Solutions
      • EMIR, MiFIR & SFTR Transaction Reporting
      • EMIR, MiFIR & SFTR Advisory Support
    • ESG Services
    • Digital & Operational Transformation Consulting
    • Training
      • Executive Training
      • MLRO Training
      • FCA Interview Preparation
      • eLearning Platform
  • Technology
    • ViCA
    • ComplyPortal
    • MAP FinTech
    • Compliance Monitoring & Learning Solution (CLMS)
  • Resources
    • Insights & Articles
    • Upcoming Webinars & Events
    • Webinars on Demand
    • Library
  • Contact
Menu
  • Terms and Conditions
  • Client Disclosures
  • Anti-Slavery Policy
  • CSR and ESG Policy
  • Privacy Policy
  • Cookie Policy

Global Offices

Complyport (UK)

34 Lime Street
London
EC3M 7AT
United Kingdom
+44 (0)20 7399 4980
info@complyport.co.uk

Complyport (UAE)

Emirates Financial Towers
South Tower
Level 3, Office 308
DIFC, Dubai
United Arab Emirates
info@ae.complyport.com

Complyport (EU)

2 Diagorou
ERA House
Ground Floor, 1097
Nicosia
Cyprus
info@cy.complyport.com

Connect With Us

© Complyport 2025 | All Rights Reserved.