Capital markets investor protection

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This Overview provides a guide to the Financial Services content within the Capital markets investor protection subtopic, with links to the appropriate materials.

MiFID II conduct of business and investor protection requirements

The recast Markets in Financial Instruments Directive 2014/65/EU (OJ L 173/349) (EU MiFID II) and the Markets in Financial Instruments Regulation (EU) 600/2014 (OJ L 173/84) (EU MiFIR) entered into force on 2 July 2014. The majority of the requirements of EU MiFID II and EU MiFIR had effect from 3 January 2018.

EU MiFID II contains requirements which are relevant to many aspects of capital markets conduct of business and investor protection, including:

  1. •

    client categorisation

  2. •

    client agreements

  3. •

    information provided to clients

  4. •

    independent advice

  5. •

    inducements

  6. •

    research

  7. •

    investment advice

  8. •

    suitability and suitability reports

  9. •

    appropriateness assessments

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Latest Financial Services News

Big Tech is major obstacle to stopping UK financial fraud

Law360, London: Anti-fraud campaigners are calling on the government to fine Big Tech companies such as Meta on repeated failures to prevent fraudulent financial advertising on their platforms with a tougher and wider regime than envisaged, with the consensus that social media is the biggest obstacle to combating investment scams.

OFSI extends General Licence INT/2022/1834876

The Office of Financial Sanctions Implementation (OFSI) and HM Treasury (HMT) have extended General Licence INT/2022/1834876, regarding Russia Designated Persons–Charities and Interim Managers and trustees. The licence, effective from 30 May 2022 has been extended to expire at 23:59 on 30 May 2028.

UK sanctions regime review lacks detail on beefing up meager enforcement

MLex: UK government plans to consolidate sanctions lists and speed up enforcement of civil-law breaches will be welcomed as aims, but the new plan fails to grasp the nettle of patchy enforcement. The latest look at the sanctions regime appears largely silent on how to improve matters: The government said it would look to increase the deterrent effect of enforcement, but appeared not to mention any new resources for investigators.

Financial Services—other developments (20/5/2025)

A round-up of other developments, which have not been covered in full by the LexisNexis Financial Services practical guidance team but may nevertheless be of interest.

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Express consent needed for collateral use of mutual legal assistance material in FCA civil proceedings

Express consent needed for collateral use of mutual legal assistance material in FCA civil proceedings

Financial Services analysis: Karen Anderson, partner, and Elizabeth Head, of counsel at Herbert Smith Freehills LLP consider the High Court decision Financial Conduct Authority v Papadimitrakopoulos and others including the Court’s interpretation of the Crime (International Co-operation) Act 2003

Scotland—the process for applying for sequestration

Scotland—the process for applying for sequestration

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