Should you deal with insistent clients?
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More Choice - More Flexibility - More Relevance
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Enterprise Investment Schemes (EIS/SEIS) and Venture Capital Trusts (VCT)
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A temporary solution if there are problems obtaining an LEI in time for any affected transactions from 3 January 2018.
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The FCA has clarified some aspects of how the recording rules will apply to firms that are not Article 3
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New MiFID II ‘Confirmation of Continued Suitability’ Process
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Although the new rules do not take effect until May 2018, it makes sense to consider them alongside MiFID disclosure
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New requirement to disclose costs at least annually
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MiFID II has an impact of disclosure requirements.
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Periodic assessment of suitability under MiFID II
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