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News And Insights

  • Regulatory Update

LSE requires all those with securities admitted to trading on AIM to have a Legal Entity Identifier

The London Stock Exchange ("LSE") requires all AIM companies with securities admitted to trading on
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  • Regulatory Update

AIM – SME Growth Market Application and consequences for Insider Lists under MAR

MiFID II will introduce a new designation of “SME Growth Market” that operators of qualifying
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  • Regulatory Update

FCA proposing to automatically convert individuals from the Approved Persons Regime to the Senior Managers and Certification Regime

The FCA is proposing to automatically convert individuals from the Approved Persons Regime to the
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  • Regulatory Update

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

Firms will have the option, but not the obligation, to continue to provide projections to
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  • Regulatory Update

LEIs: GLEIF publishes Entity Legal Forms Code List

The Global Legal Entity Identifier Foundation (GLEIF) has published its first Entity Legal Forms (ELF)
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  • Regulatory Update

UK PRIIPs Regulation published – KIDs required 1 January 2018

The PRIIPs Regulation requires those manufacturing a packaged retail and insurance-based investment product (“PRIIP”) to
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