This table lists the main rules contained in the FCA handbook and the MiFID Org Regulation (Regulation (EU) 2017/565) that apply to an FCA authorised corporate finance firm.
It was prepared in October 2018 and is being provided as a precedent on an “as is” basis, i.e. for reference purposes only and without any guarantee of its suitability, accuracy, completeness or compliance with any applicable laws, rules and regulations.
Please click here to see a preview of this table: FCA Rules Applicability Analysis for Corporate Finance Firms Preview.
Please use the PayPal button below to purchase the full table. All major credit and debit cards accepted. The purchase price is £14.99.
Please do not hesitate to contact our managing director (Giuseppe Giusti – DD: 020 7502 6621) if you wish us to prepare a bespoke table identifying the main FCA rules and regulations that apply to your organisation (additional fees apply).
Disclaimer: This article provides general information only. It is not comprehensive and does not constitute the provision of legal, investment or regulatory advice. FS REG is not responsible for any action taken or omitted to be taken on the basis of the information contained in this article. © 2020 FS REG Limited (www.fsreg.com). All rights reserved.