Search results
Showing 91 to 100 of 106 search results for MiFID II applies from 3 January 2018.
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Potentially Anomalous Trading Ratio 2019/20
The FCA committed to developing and publishing additional measures that will further illustrate the state of UK markets. -
Andrew Bailey speech at the Annual Public Meeting 2018
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2018 Annual Public Meeting. -
Brexit and beyond
Speech delivered by Nausicaa Delfas, Executive Director of International at the FCA, at City and Financial, 4th UK Financial Services Brexit Summit. -
AI and financial crime: silver bullet or red herring?
Speech by Rob Gruppetta, Head of the Financial Crime Department, delivered at Chatham House. -
IFPR implementation observations: quantifying threshold requirements and managing financial resources
Firms should consider these and how they can strengthen their processes. -
Effective compliance with the Market Abuse Regulation – a state of mind
One of the major evolutionary steps directly in our sights is the move from ‘MiFID I’ to ‘MiFID II/MiFIR’ data – a step change in both the volume and quality of ... It is worth noting that the introduction of MiFID II also introduces the second -
CFD firms fail to meet our expectations on appropriateness assessments
Findings from our review of appropriateness assessments for sales of contracts for difference (CFD) products, through a sample of 23 firms. -
Maintaining market confidence: an update on Brexit
Speech delivered by Nausicaa Delfas, Executive Director of International at the City and Financial: 3rd UK Financial Services Brexit Summit -
Partly contested cases, the pipeline and AML investigations
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime. -
Regulating financial innovation – going behind the scenes
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Cambridge Centre for Alternative Finance annual conference, Judge Business School.