FOR FINANCIAL ADVISERS ONLY

FOR FINANCIAL ADVISERS ONLY

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Regulation

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Legal Entity Identifiers (LEI)

This article explains who needs a Legal Entity Identifier.
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Protecting your client’s money - peeling back the layers of policyholder protection

An explanation of the layers of protection safeguarding policyholders with assets invested through OMI and OMII
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Common reporting standards – time to get involved

This article details the requirements of the Client Notification Regulations and considers what advisers must do in order to comply with them.
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Isle of Man disclosure facility

This article provides an overview of the disclosure facility agreement between the Isle of Man and the UK and explains the obligations of Isle of Man based financial intermediaries.
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EU regulation on Packaged Retail Investment Products

The aim of this document is to provide a brief overview of the EU regulation on Packaged Retail Investment Products and key information documents for investment products.
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To disclose or not disclose?

This article provides the background to DOTAS, including the recent changes announced in Finance Bill 2013, and explains when an IHT scheme must be disclosed to HMRC.
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Insurance Mediation Directive

This article aims to provide you with an understanding of how the Insurance Mediation Directive works in practice.

Financial Adviser Verification

The content of this site is for advisers only. It is not for the use of Hong Kong advisers. You can change the regional content by selecting a region from the drop down box in the top right-hand corner.