PRIIPs

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 […] [...]

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 […] [...]

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 […] [...]

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 […] [...]

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 […] [...]

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 […] [...]

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 […] [...]

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 […] [...]

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 […] [...]

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 […] [...]

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 […] [...]

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 […] [...]

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 […] [...]

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 […] [...]

Tag: PRIIPs

FCA Asset Management Conference – Insights

FCA publishes its Business Plan for 2018/19

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

UK PRIIPs Regulation published – KIDs required 1 January 2018

PRIIPs: Key Information Document Guidelines

Benchmarks Regulation

PRIIPs: Final FCA Rules

FCA Review: Suitability

PRIIPs: Implementation Date Confirmed

PRIIPs – Joint Consultation

PRIIPs: Implementation Delay Confirmed

CFDs and other Speculative Products

PRIIPs Delay

PRIIPs: Are you ready?

Disclosure Requirements

PRIIPs

Product Information New Regulation

INSIGHTS & EXPERTISE

NEWS & EVENTS

Webinar: Consumer Duty Board Reports – Year Two – [Duplicated #37324]

Webinar: Consumer Duty Board Reports – Year Two

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 – Headquarters, London Office

Complyport EU – Nicosia Office

Complyport EU – Limassol Office

Complyport UAE – Dubai Office

Complyport India – Mumbai Office

Complyport Mauritius – Port Louis Office