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LSE requires all those with securities admitted to trading on AIM to have a Legal Entity Identifier

The London Stock Exchange ("LSE") requires all AIM companies with securities admitted to trading on AIM to have a Legal Entity Identifier (“LEI”) code. This is in order to ensure compliance with the obligations under Markets in Financial Instrument Directive (“MiFID II") and Market Abuse Regulation, which require market operators, such as London Stock Exchange, to collate LEI codes for each issuer with securities admitted to trading.

LSE requires all those with securities admitted to trading on AIM to have a Legal Entity Identifier Image

Regulatory News

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LSE requires all those with securities admitted to trading on AIM to have a Legal Entity Identifier

The London Stock Exchange ("LSE") requires all AIM companies with securities admitted to trading on AIM to have a Legal Entity Identifier (“LEI”) code. This is in order to ensure compliance with the obligations under Markets in Financial Instrument Directive (“MiFID II") and Market Abuse Regulation, which require market operators, such as London Stock Exchange, to collate LEI codes for each issuer with securities admitted to trading.

LSE requires all those with securities admitted to trading on AIM to have a Legal Entity Identifier Image

Retail News

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UK PRIIPs Regulation published – KIDs required 1 January 2018

The PRIIPs Regulation requires those manufacturing a packaged retail and insurance-based investment product (“PRIIP”) to draw up a key information document ("KID") containing standard information, and requires persons advising on or selling PRIIPs to provide the KID to retail investors, with effect from 1 January 2018.

UK PRIIPs Regulation published – KIDs required 1 January 2018 Image

Brexit and Fund Managers

Alternative Investment Fund Managers (AIFMs) and MiFID firms need to consider the impact that Brexit will have on their business in the light of recent opinion issued by ESMA to relevant EU national regulators.

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GRC Issues

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Brexit and Fund Managers

Alternative Investment Fund Managers (AIFMs) and MiFID firms need to consider the impact that Brexit will have on their business in the light of recent opinion issued by ESMA to relevant EU national regulators.

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Redundancy, dear Watson

In a move which reflects a lot of recent predictions, one Japanese insurance company has replaced a number of claims processing staff with an artificial intelligence system.

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Oops, Wrong Recipient

The ramifications of sending an email to the wrong person are sometimes far worse than simply embarrassing.

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Brexit and Article 50

A useful summary of the Article 50 situation “in less than 500 words” prepared by Chris Finney of Cooley LLP

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