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Showing 51 to 60 of 106 search results for MiFID II applies from 3 January 2018.
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CP22/4: Quarterly Consultation Paper No. 35
Once a quarter, we consult on proposed miscellaneous amendments to our Handbook. -
MiFID reporting after the Brexit transition period
Read this page if your firm is migrating to FCA FIRDS or FCA FITRS after 31 December 2020. You will find information here about what you need to do. -
DRSP and MDP fees
There are different types of Data Reporting Services Providers (DRSPs) and Market Data Processor (MDP) fees. Find out more about each fee. -
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. -
PS17/25: FAMR implementation part II and consultation on retiring FG12/15 and FG14/1
This Policy Statement outlines the response to our consultation CP17/28: FAMR Implementation Part II and insistent clients, and announces a consultation on the retirement of guidance FG12/15 and FG14/1. -
FCA fines UBS AG £27.6 million for transaction reporting failures
UBS AG (UBS) has been fined £27,599,400 by the Financial Conduct Authority (FCA) for failings relating to 135.8 million transaction reports between November 2007 and May 2017. -
Remuneration and performance management of sales staff (SYSC 19F)
FCA provides rules on staff incentives and the remuneration of sales staff and advisers. -
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 fines Goldman Sachs International £34.3 million for transaction reporting failures
Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and timely reporting relating to 220.2 million transaction reports between November 2007 and March 2017. -
Inducements and conflicts of interest thematic review: key findings
We are not publishing a thematic report, as this work will be taken into account in our planned MiFID II consultation paper. ... However, given the recent European Parliament confirmation of the delay in implementing MiFID II to 3 January 2018, we are