Non-MiFID Non-Retail - Full

Non-MiFID Non-Retail - Full

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

 

1. Introducing Compliance

2. General

3. Investment Business

4. Alternative Investment Funds

5. Money Laundering

6. Appointed Reps

7. Operating CIS Schemes

8. 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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