Repository of Regulatory Initiatives for Brexit Preparedness
Repository of Regulatory Initiatives for Brexit Preparedness
Information for Specific Market Segments - Intermediaries – Brokers, Dealers, Investment Firms
European Commission
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Withdrawal of the United Kingdom and EU rules in the field of markets in financial instruments 8 February 2018
https://ec.europa.eu/info/sites/info/files/file_import/financial_instruments_en.pdf
ESMA
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MIFID II supervisory briefing on the use of third-country branches by EU firms 6 February 2019
https://www.esma.europa.eu/system/files_force/library/esma35-43-1493_mifid_ii_supervisory_briefing_on_the_use_of_third-country_branches_by_eu_firms.pdf?download=1 -
ESMA Q&As clarify prospectus and transparency rules in case of no-deal Brexit January 2019
https://www.esma.europa.eu/sites/default/files/library/esma31-62-780_qa_on_prospectus_related_topics.pdf -
ESMA tells firms to provide clients with information on the implications of Brexit 19 December 2018
https://www.esma.europa.eu/sites/default/files/library/esma35-43-1328_brexit_statement_information_to_clients.pdf -
Opinion to support supervisory convergence in the area of investment firms in the context of the United Kingdom withdrawing from the European Union 13 July 2017
https://www.esma.europa.eu/system/files_force/library/esma35-43-762_opinion_to_support_supervisory_convergence_in_the_area_of_investment_firms_in_the_context_of_the_united_kingdom_withdrawing_from_the_european_union.pdf?download=1 -
General principles to support supervisory convergence in the context of the UK withdrawing from the EU 31 May 2017
https://www.esma.europa.eu/system/files_force/library/esma42-110-433_general_principles_to_support_supervisory_convergence_in_the_context_of_the_uk_withdrawing_from_the_eu.pdf?download=1
FCA
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Preparing your firm for Brexit
https://www.fca.org.uk/firms/preparing-for-brexit -
Brexit Policy Statement and Transitional Directions 4 March 2019
https://www.fca.org.uk/publications/policy-statements/ps19-5-brexit-policy-statement -
CP19/2: Brexit and contractual continuity 28 February 2019
https://www.fca.org.uk/publications/consultation-papers/cp19-2-brexit-and-contractual-continuity -
Direction: Temporary permission notification 9 November 2018
https://www.fca.org.uk/publication/handbook/temporary-permission-notification-direction.pdf -
Dear CEO letter: Cross-Border Booking Arrangements (PDF) 8 August 2018
https://www.fca.org.uk/publication/correspondence/dear-ceo-letter-cross-border-booking-arrangements.pdf