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Showing 21 to 30 of 121 search results for Investor protection under MiFID II.
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Implementing MiFID II – multi-firm review of research unbundling reforms
Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately. These are the findings of our review on how -
Evolving the FCA's approach to markets regulation
Keynote speech by David Lawton, Director of Markets, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA publishes terms of reference for asset management market study
From 31 December 2016, manufacturers and distributors of packaged retail and insurance-based investment products (PRIIPs) will be required to provide retail investors with a Key Information Document (‘KID’) under the ... MIFID II comes into force in -
How regulation can prepare the ground for economic growth
Speech by Sarah Pritchard, Executive Director, Markets at the City and Financial Global: The Future of UK Financial Services Regulation Summit. -
The future of financial services regulation in the UK
Speech delivered by Nausicaa Delfas, Executive Director of International, at the UK Financial Services Industry Beyond Brexit Summit, London. -
Effective compliance with the Market Abuse Regulation – a state of mind
It is worth noting that the introduction of MiFID II also introduces the second tranche, so to speak, of MAR implementation. ... Many of those capabilities do not necessarily arise from MAR, but from, for example, MiFID II, and indeed the wider suite of -
Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR). -
Competition in the asset management industry: UK experiences, global implications
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Securities Industry and Financial Markets Association's (SIFMA) 2017 Annual Meeting. -
PS13/5 Implementation of the Alternative Investment Fund Managers Directive
We are setting out our rules for implementing the Alternative Investment Fund Managers Directive (AIFMD) and responding to the feedback to our consultation. -
Preparing for Brexit in financial services: the state of play
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at Bloomberg - London