MiFID Firms

The Maples Group provides clients with expert advice and practical industry experience in relation to the establishment and ongoing operation of investment firms, complemented by our involvement and lead in a number of MiFID II implementation projects for investment firms.  We work closely with our financial services regulatory team and tax colleagues, and our clients’ advisers and consultants, to provide advice on all aspects of an investment firm’s operations.

We have expertise in establishing investment firms that operate portfolio management and distribution services in respect of a diverse range of financial instruments globally and on cross-border passport, branch and tied agent basis within the EU. 

Our Irish and Luxembourg legal and regulatory service teams specialise in advising investment firms in relation to:

• Regulatory authorisations and the supporting documentation framework
• Extension of regulatory permissions
• Cross-border management passporting, branch activity and tied agents
• Delegation arrangements and outsourcing
• Conduct of business and regulatory capital requirements 
• Reporting requirements
• Staffing and governance
• Ownership restructuring
• Engagement with industry and competent authorities

We also regularly advise clients seeking the addition of MiFID top-up permissions to complement their UCITS management company and / or AIFM licence, where authorisation as an investment firm under MiFID is not required.