Global Financial Regulatory Blog

Tag Archives: retail investors

European Commission Report Assesses AIFMD Application and Scope

The European Commission has published its long awaited report that assesses the application and scope of AIFMD. By Carl Fernandes and Kishore Bhindi On 10 June 2020, the European Commission published a report assessing the application and scope of the Alternative Investment Fund Managers Directive (AIFMD). The report was prepared pursuant to Article 69 of … Continue Reading

COVID-19: FCA Dear CEO Letter to Firms Providing Services to Retail Investors

The FCA sets out its approach on client identity verification, supervisory flexibility over best execution obligations and 10% depreciation notifications, and financial resilience. By Rob Moulton and Anna Lewis-Martinez On 31 March 2020, the FCA published a Dear CEO letter to firms providing services to retail investors about COVID-19. The FCA makes it clear that it expects … Continue Reading

First Use of ESMA Temporary Product Intervention Measures

ESMA to introduce measures to restrict the provision of CFDs, and prohibit the provision of binary options, to retail investors in the EU. By Nicola Higgs and Charlotte Collins The European Securities and Markets Authority (ESMA) has announced the first use of its new product intervention powers under MiFID II. ESMA had announced before MiFID … Continue Reading
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