MiFID II applications and notifications
MiFID II comes into being on 3 January 2018 but firms need to take action now.
MiFID
Inducements and conflicts of interest
The FCA reminds firms of their expectations in relation to conflicts of interest.
Are you ready for the recording rules?
Client conversations might need to be recorded from January 2018. Are you ready?
Financial Advice Market Review
Overview and comment on the FAMR.
MiFID II
The FCA has published a MiFID II Consultation Paper
New Capital Adequacy Requirements
Changes confirmed for Personal Investment Firms from 30 June 2016
Capital Resource Requirements for Personal Investment Firms
After much deliberation and mind changing, it looks like new requirements are finally set to be implemented