Search results
Showing 131 to 140 of 390 search results for MiFID II implementation.
-
A strategy for positive change: our ESG priorities
The FCA's environmental, social and governance (ESG) strategy sets out our target outcomes and the actions we expect to take to deliver these, to support the transition to a net zero economy. -
Advice firms demonstrate some good practice on due diligence but greater consistency needed
The FCA will publish a second consultation paper on the implementation of the Markets in Financial Instruments Directive (MiFID II) later this year. -
Market abuse requires a dynamic response to a changing risk profile
MAR and MiFID II define what constitutes unacceptable conduct and practice, including behaviour that amounts to giving false or misleading impressions to the market. ... MiFID II has been, amongst many things, an exercise in bringing together a common -
Position limits for commodity derivative contracts
We are required to set limits on the maximum size of positions which a person can hold in commodity derivatives. Here we set out these position limits. -
Firms continue to fail to meet our expectations on their use of dealing commission
We summarise our findings from a review that analysed dealing commission expenditure across 31 investment managers (covering asset managers, wealth managers and host-authorised corporate director providers) between 2012 and 2015. -
MiFID II Occupational Pension Scheme (OPS) Firms [pdf]
-
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 -
MiFID II Taping [pdf]
-
[pdf]
-
MiFID II Inducements [pdf]