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 and COVID-19 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).
A. In return for payment of the document fee you are granted a non-exclusive perpetual licence:
- to use the product and any of the forms and/or documents therein for your own business purposes for one single legal entity only at any time
- only for the purposes of supporting your business purposes, to reproduce, print and make back-up copies on any computer system and
- to copy, modify, adapt, merge, translate, disassemble, or create derivative works based on the whole or any part of the product for your firm's purposes.
B. Exceptions and Restrictions
- You will not sell any of the product (or any part thereof) to third parties
- You will not distribute any of the forms and/or documents contained within the product (or any part thereof) to third parties for sale or resale (or free of charge) whether as part of a package or as a separate product.
- You will not use the product (or any part thereof) for any purpose which rivals or competes with ComplianceWizard.
- You will not rent, lease, sub-licence or loan any of the products (or any part thereof) to third parties.
- The copyright and all other applicable intellectual property rights remain the sole property of ComplianceWizard.
- All restrictions in these terms applies to any and all parts thereof, and any derivative works created by you using the product.