MiFID Non-Retail - No ARs

MiFID Non-Retail - No ARs

This FCA compliance manual is a guide to the rules affecting MiFID firms with professional clients. It's been drafted to take account of MiFID II, SMCR, Covid-19, 5th Money Laundering Directive requirements and MiFIDPRU and includes the following chapters:


1. Introducing Compliance

2. General

3. Investment Business

4. Alternative Investment Funds

5. Money Laundering and Financial Crime

6. Other FCA Topics


We've taken all reasonable steps to make sure the information is current at the date of publication. However, you need to make sure the content remains relevant and in date after that. Once purchased, this document won't be maintained by us unless you've purchased an updating service.


It's in Word format and is fully editable. Start by replacing the ComplianceWizard logo with your own and then make any necessary alterations to reflect your operating style and FCA permissions. If you add or delete any chapters or sections, remember to update the table of contents afterwards (by right-clicking and selecting update).

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