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compliance

PRIIPS and MiFID II: Cost and charges considerations

Two key pieces of regulation that impact how firms demonstrate transparency to clients when interacting with them throughout the lifecycle of a relationship, went live this week: Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation and the Markets in Financial Instruments Directive II (MiFID II).  

MiFID II: Loss of VAT exemption for research?

MiFID II went live on 3 January 2018. In scope, firms will have considered the impact of the regulatory changes being introduced, but may not be aware of the VAT implications of MiFID II in respect of the provision of research.

ESMA issues statement on preparatory work relating to CFDs and binary options

The European Securities and Markets Authority (ESMA) issued a statement earlier this month, providing an update on its work relating to the provision of contracts for differences (CFDs), including rolling spot forex and binary options to retail clients.

MiFID II - the final furlong

With just 36 working days remaining of 2017 and until the implementation of MiFID II, we are seeing mixed progress towards compliance, with some firms just completing the first hurdle as they progress through the gap analysis stage. While others have demonstrated strong progress towards implementing solutions and now have the finish line in sight, as we enter the final furlong.

New successes for HMRC in the courts

HMRC seem to be making progress in their attempts to discourage, and recover unpaid tax, from participators in tax evasion schemes. 

New successes for HMRC in the courts

HMRC seem to be making progress in their attempts to discourage, and recover unpaid tax, from participators in tax evasion schemes.