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Showing 191 to 200 of 390 search results for MiFID II implementation.

  1. Our regulatory focus on commodity markets

    Markets Regulated markets Published: 22/04/2016 Last modified: 14/12/2022
    Find out about key areas of our commodity markets regulation, including recognised bodies, warehousing, market abuse and actions we take.

  2. MiFID Annex for VOP Application Form [docx]

    Forms Published: 13/01/2017 Last modified: 26/05/2022
    This MiFID Annex for VOP Applications can be used to provide information required by the RTS under 7(4) of MiFID II that has changed since your initial authorisation.

  3. Training and competence

    Tasks for regulated firms Published: 12/05/2015 Last modified: 10/02/2023
    Our training and competence regime makes sure the financial services workforce is appropriately qualified and well regulated.

  4. FCA approach to MiFID transparency calculations

    Statements Published: 05/02/2019 Last modified: 05/02/2019
    We welcome the statement published by ESMA today on the use of UK data in ESMA databases and the performance of MiFID II calculations in the EU27 if the UK leaves the EU without a withdrawal agreement (a no-deal scenario). In this scenario, we will

  5. Market Data Processor (MDP) on-boarding application form [doc]

    Forms Published: 30/01/2017
    This MDP on-boarding application form is used to advise us what MiFID II data types an entity will be submitting.

  6. Assessing Suitability Review

    Multi-firm reviews Published: 18/05/2017 Last modified: 18/05/2017
    This report sets out the findings from our review into the market for pensions and investment advice.

  7. Looking ahead to 2014

    Speeches Published: 09/12/2013 Last modified: 09/12/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at the ICI Global Trading and Market Structure Conference. This is the text of the speech as drafted, which may differ from the delivered version.

  8. MiFID Authorisation Form [docx]

    Forms Published: 13/01/2017 Last modified: 22/03/2022
    MiFID Authorisation Form

  9. MiFID Annex II: Notification form for the list of members of the management body [docx]

    Forms Published: 13/01/2017 Last modified: 17/03/2022
    MiFID Annex II: Notification form for the list of members of the management body form

  10. Cysylltwch â Ni

    Last modified: 21/02/2024
    Defnyddwyr (a phobl sy'n cynrychioli defnyddwyr)
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