February 2018 Update
Enterprise Investment Schemes (EIS/SEIS) and Venture Capital Trusts (VCT)
Update
LEI update
A temporary solution if there are problems obtaining an LEI in time for any affected transactions from 3 January 2018.
MiFID II – Telephone recording update
The FCA has clarified some aspects of how the recording rules will apply to firms that are not Article 3 […]
December 2017 Update
New MiFID II ‘Confirmation of Continued Suitability’ Process
GDPR – new data protection rules
Although the new rules do not take effect until May 2018, it makes sense to consider them alongside MiFID disclosure […]
MiFID II Disclosure Article 3 – Aggregated Costs
New requirement to disclose costs at least annually
MiFID II – Disclosure article 1
MiFID II has an impact of disclosure requirements.
MiFID II
Periodic assessment of suitability under MiFID II
Money Laundering Update
An update to the Treasury view on money laundering.
Transfer Advice – transferring in ill health
Clients in poor health introduce additional considerations for advisers.