MiFID Retail - No NII
This FCA compliance manual is a guide to the rules affecting MiFID firms with retail clients. It's been drafted to take account of MiFID II, SMCR, Covid-19 and 5th Money Laundering Directive requirements and includes the following chapters:
1. Introducing Compliance
3. Investment Business
4. Alternative Investment Funds
5. Advisory Business
6. Money Laundering and Financial Crime
7. Appointed Reps
8. Other FCA Topics
If you need any other chapter, for example one on ACD and AFM responsibilities, please contact us.
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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