Search results
Showing 31 to 40 of 106 search results for MiFID II applies from 3 January 2018.
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FCA statement on MiFID II inducements and research
The FCA welcomes the announcements made today by the European Commission and the US Securities and Exchange Commission (US SEC) in relation to the MiFID II inducements and research reforms and their interaction with US regulation. -
A Better View
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017 -
FCA to ask firms for their views on MiFID II implementation
The discussion paper requests views on the following topics:. The extent to which the FCA should apply MiFID II provisions to insurance-based investment products and pensions. ... Whether and how the FCA might apply sales-staff remuneration rules to -
FCA publishes third MiFID II consultation paper
The Financial Conduct Authority (FCA) has today (29 September 2016) published its third consultation paper on the implementation of the revised Markets in Financial Instruments Directive (MiFID II). -
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. -
Authorised DRSPs
An entity that provides a Data Reporting Service is called a Data Reporting Services Provider (DRSP). We list the DRSPs that are authorised or verified by us. -
MiFID II – the road ahead
Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at the FCA MiFID II Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA consults on aspects of the Markets in Financial Instruments Directive II implementation
The implementation of MiFID II is currently set for 3 January 2017. ... Discussions are taking place between the European Commission, European Parliament and Council of the European Union about a possible overall delay in the implementation of MiFID II -
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 -
FCA finds MiFID II research unbundling rules working well for investors
The Financial Conduct Authority (FCA) has today published multi-firm review findings indicating the Markets in Financial Instruments Directive’s (MiFID II) research unbundling rules have improved asset managers’ accountability over costs, saving