As part of our compliance services at Thistle Initiatives, we keep our clients updated with the latest regulatory news, allowing them to stay ahead of the competition in the compliance world.
We will send regular Regulatory Updates direct to your inbox, as and when the most significant issues arise within the finance sector, as well as any broad regulatory matters that we believe will be relevant to your firm’s business activities.
In addition to our updates, Thistle Initiatives compose a monthly compliance newsletter, providing you with advice and insight into recent FCA activities and financial services as a whole.
Last week, the winners of the AltFi Awards 2017 were announced. These awards recognise outstanding achievement in the Alternative Finance industry for both established and up-and-coming platforms. Thistle was awarded runner-up in the “Consulting and Corporate Advice Firm of the... Read more
What has happened? On 20 December, the European Securities and Markets Authority (ESMA) issued a public statement to support the smooth introduction of the Legal Entity Identifier (LEI) requirements for MiFID II implementation. This statement... Read more
What happened? On 2 August 2016, the FCA had issued an alert following an increase in cases of introducers having an inappropriate influence on business carried out by authorised firms. This alert expands on that. It also highlights the risks... Read more
Background With less than one month to go until MiFID II goes live, the FCA has amended the rules on telephone taping which will apply to all discretionary investment managers from 3 January 2018. What... Read more
What will happen? MiFID II brings in, from 3rd January 2018, enhanced requirements in relation to the disclosure to retail and professional clients and eligible counterparties of costs and charges information by investment advisers and... Read more
You can also follow us on Twitter for quick updates through the day.
Head office: Thistle Initiatives
80 Coleman Street
Telephone: +44 (0)20 7436 0630