Investor Protection

Financial services have a significant impact on investors. It is therefore important that investors are able to make informed decisions and feel that they have adequate protection if things go wrong.

Markets Regulation, and in particular the MiFID/MiFIR regimes have progressively introduced obligations on financial service providers regarding the creation and review of products, distribution channels as well as the management of potential conflicts of interest. The work of the FSB, notably around Shadow Banking activities and potential vulnerabilities within asset management, further highlights the growing focus on this area.

The development of Undertakings for Collective Investment in Transferable Securities (UCITS) has enabled investment regulation to be unified across Europe, thereby creating a consistent and recognisable framework for retail investors.

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