Investigation into Investment Consultancy Services
Competition and Markets Authority investigates the supply and acquisition of Investment Consultancy Services
Investment Research
FCA releases statement on MiFID II inducements and research
Principals who have Appointed Representatives
FCA issues second alert highlighting risks of not having adequate AR oversight
Variation of Permission / Authorisation
Deadline approaches for MiFID II firms to submit Variation of Permission applications
Asset Management Authorisation Hub
FCA launches Asset Management Authorisation Hub
Event: Brexit Briefing and Book Launch
Complyport CEO, Paul Grainger has contributed to a newly published book ‘Doing Business After Brexit’.
Complyport CEO outlines regulatory & compliance issues in CISI publication
In an article published by CISI, Complyport CEO Paul Grainger considers six issues that may be keeping the Directors and Compliance Officers of many financial planning firms awake at night
Changes to UK MiFID – CP21/9: What does it mean for you?
The FCA has recently ended consultation (CP21/9), which covered changes to UK MiFID’s conduct and organisational requirements. The paper deals with the relaxing of certain obligations relating to investment research […]