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Showing 261 to 270 of 390 search results for MiFID II implementation.

  1. MiFID investment services and activities and investments types form [docx]

    Forms Published: 27/01/2017 Last modified: 29/03/2022
    MiFID investment services and activities and investments types form.

  2. MiFID Investment and Home Finance Supplement Notes [docx]

    Forms Published: 13/01/2017

  3. MiFID Fees and Levies Supplement Notes: Wholesale [docx]

    Forms Published: 13/01/2017

  4. Transparency waivers and deferrals

    Firms Focus areas Markets Markets policy Published: 23/05/2016 Last modified: 11/01/2023
    Market operators and investment firms operating a UK trading venue that would like a pre-trade transparency waiver must apply to us in advance. Find out how to apply for waivers and deferrals.

  5. Christopher Woolard’s statement welcoming the IDWG recommendations

    Statements Published: 05/07/2018 Last modified: 05/07/2018
    On 15 June 2018 we received the report of recommendations from the Institutional Disclosure Working Group (IDWG). The IDWG has now also published a summary of their recommendations.

  6. Dear CEO letter - Payment for Order Flow [pdf]

    Correspondence Published: 13/12/2017
    This letter sets out the FCA’s views on PFOF in the context of the evolving landscape under MiFID II, drawing attention to the new requirements and that the FCA will take strong action against firms that are identified breaching the new standards.

  7. UK EMIR notifications and exemptions

    Markets policy Published: 24/05/2016 Last modified: 17/07/2023
    Notifications and applications under UK European Market Infrastructure Regulation (UK EMIR) fall into certain categories. Learn more about these notifications, applications and relevant technical standards.

  8. PS21/9: Implementation of Investment Firms Prudential Regime

    Policy and guidance Policy statements Published: 26/07/2021 Last modified: 26/07/2021
    This is the second of the Policy Statements we will issue to introduce the Investment Firm Prudential Regime.

  9. MiFID Controller Form: Legal Persons and Partnerships [docx]

    Forms Published: 13/01/2017 Last modified: 17/03/2022
    MiFID Controller Form: Legal Persons and Partnerships

  10. Business Plan 2023/24

    Corporate documents Business plans Published: 04/04/2023 Last modified: 02/07/2024
    The FCA's Business Plan details the work it will do over the next 12 months to help deliver the commitments in its Strategy.
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