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Showing 611 to 620 of 679 search results for Instrument of dissolution.
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Monitoring orders and transactions – our expectations of firms
Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum -
Statement about broker-operated systems trading physically settled gas and power forwards
the Markets in Financial Instruments Directive (MiFID).These reviews were focusing on the interpretation of the multilateral trading facility (MTF) category under MiFID. ... 1] The Markets in Financial Instruments Directive (2004/39/EC). [2] The -
IFPR implementation observations: quantifying threshold requirements and managing financial resources – concluding report
Further observations on how firms are implementing requirements on the Internal Capital Adequacy and Risk Assessment process and reporting under the Investment Firms Prudential Regime. -
Chief Executive speaks at APM about recent work and future challenges
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting. -
CP16/13: Changes to the Decision Procedure and Penalties Manual and the Enforcement Guide for the implementation of the Market Abuse Regulation
These were not included in the November consultations because these changes are highly dependent on the details to be set out in the Treasury’s Statutory Instrument (SI) to be made ... This Consultation Paper will be of interest to, among others, any -
FCA statement on ESMA’s temporary product intervention measures applied to retail CFD and binary option products
The European Securities and Markets Authority (ESMA) has agreed a range of product intervention measures to prohibit the provision of binary options and to restrict the provision of Contracts for Difference (CFDs) in order to protect retail investors -
Coronavirus and 10% depreciation notifications: further temporary measures for firms
This statement is for firms providing portfolio management services or holding retail client accounts that include positions in leveraged financial instruments or contingent liability transactions. -
An evaluation of bringing additional benchmarks into the regulatory and supervisory regime
In this paper, we evaluate the Benchmarks (Amendment) Instrument 2015, which brought seven benchmarks into our regulatory and supervisory regime. -
Making competition king – the rise of behavioural economics at the FCA
Speech by Martin Wheatley, Chief Executive, the FCA, at the Australian Securities and Investments Commission (ASIC). This is the text of the speech as drafted, which may differ from the delivered version. -
PS19/26: Brexit - Regulatory Technical Standards for Strong Customer Authentication and Common and Secure Open Standards of Communication
This policy statement PS19/26 confirms the regulatory technical standards for strong customer authentication and common and secure open standards of communication, which will apply in the UK, in the event of a no-deal exit by the UK from the EU.