Search results
Showing 141 to 150 of 151 search results for MiFID II and seeking views.
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Capital Markets Union – a regulator’s perspective
Speech by David Lawton, Director of Markets, Policy and International, at the FCA, delivered at the Deutsche Borse Group ‘Blueprint for a European Capital Markets Union’ event on 27 May 2015 at the ETC venues, London. This is the text of the -
Consumer Investments Strategy – 1 year update
The FCA provides an update on its progress against the workstreams and outcomes it committed to in its Consumer Investments Strategy in September 2021. -
Advice firms demonstrate some good practice on due diligence but greater consistency needed
Financial advice firms are seeking to achieve positive outcomes for their clients when it comes to undertaking research and due diligence, a thematic review by the Financial Conduct Authority (FCA) has ... The FCA will publish a second consultation paper -
Implementing Technology Change
This review sets out the findings from our cross-Financial Services change management review which looked at how financial firms manage technology change, the impact of change failures and the practices utilised within the industry to help reduce -
Why free trade and open markets in financial services matter
Speech by Andrew Bailey, Chief Executive of the FCA, at Reuters Newsmaker event. -
Market Force and the Chartered Institute’s Nicholas Barbon Lectures
Speech by Andrew Bailey, Managing Director, Prudential Business Unit at the Chartered Institute’s Nicholas Barbon Lectures, London -
Review of host Authorised Fund Management firms
We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed. -
Free trade in financial services and global regulatory standards: friends not rivals
Speech by Andrew Bailey, Chief Executive of the FCA, at the Economic Council Financial Markets Policy Conference. -
CP16/40: Enhancing conduct of business rules for firms providing contract for difference products to retail clients
This consultation outlines our concerns around increasing evidence of poor conduct and risks to investor protection from retail contracts for differences (CFDs) and proposes a package of policy measures designed to address those risks. -
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.