Search results
Showing 81 to 90 of 201 search results for MiFID II applies from 3 January.
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Market data reporting and MDP
The Market Data Processor (MDP) system allows entities to submit and access market data. Find out more about who it applies to and how on-boarding works. -
UK recovery and resolution
Read about the recovery and resolution regime for certain firms that we prudentially regulate, including which firms are affected and what you need to do. -
UK MiFID framework notifications
If you’re an authorised investment firm find out more about the notifications you may need to make. -
DP15/3: Developing our approach to implementing MiFID II conduct of business and organisational requirements
DP15/3: Developing our approach to implementing MiFID II conduct of business and organisational requirements. ... For more information see a timeline of MiFID II implementation and read our pages on MiFID II. -
Transaction reporting
We use transaction reports to detect and investigate suspected market abuse. Find out more about the submission of transaction reports and the data they should contain. -
Maturing dormant Child Trust Fund accounts
Information for Child Trust Fund (CTF) providers on the treatment of dormant accounts at maturity, including legislative changes and how to apply for a modification by consent if a client can’t be contacted. -
Information on fines and active or closed investigations since January 2018 - April 2020
The FCA provides information on any fines levied and the number of active or closed investigations since January 2018 for breaching requirements under Directive 2014/65/EU (MiFID II) and Regulation (EU) No 600/2014 (MiFIR) to report RTS 24 order -
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. -
Outsourcing and operational resilience
The FCA explains the implications for operational resilience for regulated firms using outsourcing and other third party service providers, and what it expects from them. -
Trade transparency and market liquidity data 2019/20
In the FCA's 2019/2020 business plan the FCA noted that it tracked the proportions of trades carried out on venues with varying levels of trade disclosure.