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Showing 41 to 50 of 121 search results for Investor protection under MiFID II.
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FCA to ask firms for their views on MiFID II implementation
One of the aims of MiFID II is to reinforce investor protection standards by strengthening conduct of business and organisational requirements. ... How the FCA should incorporate MiFID II’s investor protection measures for structured deposits into its -
Trading venues and systematic internalisers – changes in security statuses
Trading venues and systematic internalisers may have to notify the FCA when there are changes in the status of the securities they trade. -
AIFMD updates
There are several updates the FCA has published on Alternative Investment Fund Managers Regulations. Find out about the FCA's updated guides and forms. -
FCA update on share trading obligations
ESMA has today published a statement on the revised scope of the EU’s share trading obligation (STO) under a no-deal scenario, following their initial announcement on 19 March 2019. -
Looking ahead to 2014
Speech by Martin Wheatley, Chief Executive of the FCA, at the ICI Global Trading and Market Structure Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
Market Watch 72
In this Market Watch, we outline our recent findings on the quality of service provided by Approved Publication Arrangements (APAs) and Approved Reporting Mechanisms (ARMs), collectively known as Data Reporting Services Providers (DRSPs), to clients -
FCA statement on the share trading obligation
On 29 August 2023 the STO in Article 23 of UK MiFIR was revoked by the commencement of provisions in the Financial Services and Markets Act 2023. -
Review on disclosure of costs by asset managers
We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are. -
Asset management: A regulatory perspective
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at London Business School Annual Asset Management Conference. -
Policy development update
The policy development update provides some information on our recent and upcoming publications but should not be regarded as comprehensive.