FTI Treasury Regulation

FTI Finance Limited, trading as FTI Treasury is regulated by the Central Bank of Ireland, subject to the Markets in Financial Instruments Directive 2004/39/EC (MiFID).

The MiFID II legislative framework in the EU is aimed at regulating financial markets in the bloc and improving protections for customers. Certain financial services to third parties provided by FTI Treasury fall within its scope and our authorization to provide these REGULATED services is described below. All other services provided by FTI are UNREGULATED services. Information on this website relating to unregulated services is clearly distinguished from regulated services in separate sections of each of the service drop down menus.

FTI Finance Limited was authorized under the Investments Intermediaries Act, 1995 in December 1995, and subsequently by the EU Markets in Financial Instruments Directive (MiFID I) on 1 November 2007 and MiFID II package of rules in January 2018.

FTI Finance Limited is regulated by the Central Bank of Ireland to undertake the following activities:

 

MIFID Investment Services

1

Reception and transmission of orders in relation to one or more financial institutions

2

Execution of orders on behalf of clients

3

Portfolio management

4

Investment advice

 

MIFID Ancillary Services

1

Advice to undertakings on capital structure, industrial strategy and related matters and advice and services relating to mergers and the purchase of undertakings

2

Foreign exchange services where these are connected to the provision of investment services

3

Investment research and financial analysis or other forms of general recommendations relating to transactions in financial instruments.

FTI is classified as low risk under the CB’s Probability Risk and Impact System (PRISM) and is a CRD IV exempt FOR firm.

FTI has a separate suite of board approved compliance & risk policies in place in line with Central Bank of Ireland regulations.

FTI aims to implement guidelines issued by the Central Bank of Ireland appropriate to the nature, scale and complexity of FTI Treasury.

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