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Showing 21 to 30 of 42 search results for Implementing MiFID II - multi-firm review.
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Investment managers still failing to ensure effective oversight of best execution
We outline findings from supervisory work looking at how investment managers deliver best execution for their clients. -
Liquidity Management multi-firm review
Informing the asset management industry of the conclusions and recommendations from our multi-firm review on fund liquidity management. -
2017 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2017. -
IFPR implementation observations: quantifying threshold requirements and managing financial resources
Firms should consider these and how they can strengthen their processes. -
Modelling integrity through culture
Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version. -
Business Plan 2024/25
Our Business Plan details the work we'll do over the next 12 months to help deliver the commitments in our Strategy. -
Four building blocks of efficient capital markets
Speech by David Lawton, Director of Markets, FSA at the Practising Law Institute Conference -
Market Watch 70
In this Market Watch, we outline recent observations on the transaction reporting and instrument reference data regimes. These will be of interest to investment firms, credit institutions, trading venues, systematic internalisers, and approved -
CFD firms fail to meet our expectations on appropriateness assessments
Findings from our review of appropriateness assessments for sales of contracts for difference (CFD) products, through a sample of 23 firms. -
Andrew Bailey keynote speech on MiFID II at the European Independent Research Providers Association
Speech by Andrew Bailey, Chief Executive of the FCA, on the Markets in Financial Instruments Directive (MiFID II) at the European Independent Research Providers Association.