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Showing 161 to 170 of 390 search results for MiFID II implementation.

161. MiFID II passporting application form: service passport [pdf]

     Forms Published: 17/07/2017
     MiFID II notice of intention to provide cross-border services or to amend existing cross-border services passport

162. MiFID II Conduct Forum, April 2016: presentation [pdf]

     Systems information Published: 10/05/2016 Last modified: 04/08/2016

163. MiFID II: product governance review

     Multi-firm reviews Published: 26/02/2021 Last modified: 15/04/2021
     In this MiFID II review we looked at product governance in a sample of 8 asset management firms.

164. MiFID II passporting application form: MTF/OTF notification [pdf]

     Forms Published: 17/07/2017
     MiFID II notice of intention to provide arrangements to facilitate the access to an MTF or an OTF from another EEA State or to amend details of these arrangements.

165. [pdf]

     Documents Published: 03/01/2018

166. MiFID II Systematic Internaliser and Electronic Trading Notification Guide [pdf]

     Systems information Published: 11/09/2017
     This guide is designed to assist with the submission of the Systematic Internaliser Notification and the Electronic Trading Notification form.

167. MiFID II passporting application form: Tied agent notification [pdf]

     Forms Published: 17/07/2017
     MiFID II notice of intention to use a tied agent established in another EEA state or amend EEA tied agent details.

168. FCA Connect

     Registers and systems Published: 03/05/2016 Last modified: 09/02/2023
     FCA Connect is our user management system for you to submit applications and notifications. Use it to notify us about approved persons or suspicious transactions or apply for MiFID II.

169. EU withdrawal: MiFID event – 9 December 2020

     Events Published: 02/12/2020 Last modified: 02/12/2020
     Register for our EU withdrawal: MiFID II event on the 9 December 2020

170. Where next for investment and asset management regulation?

     Speeches Published: 28/09/2017 Last modified: 02/10/2017
     Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.