Investment Firm and Intermediary Newsletter

The Investment Firm and Intermediary Newsletter is a newsletter published twice a year by supervision teams within the Consumer Protection: Investment Firms, Intermediaries & Client Assets Division of the Consumer Protection Directorate. The newsletter highlights topics of interest, new items on our website and regulatory issues that MiFID investment firms need to be aware of. This initiative is intended to improve communications with the industry and to assist firms in improving their standards of compliance.