ESMA has updated a Questions and Answers document relating to the provision of CFDs and other speculative products to retail investors under MiFID. The updated question relates to the conflicts of interest that national competent authorities should consider when a firm offering CFDs or other speculative products to retail investors use another parties to perform activities.
- How-to guide How-to guide: The appointed representatives regime explained - what it means in practice (UK) Recently updated
- Checklist Checklist: Pre-appointment checks to consider when selecting an appointed representative (UK) Recently updated
- Checklist Checklist: Preparing an application to the FCA or the PRA for a Part 4A permission (UK)