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Showing 311 to 320 of 390 search results for MiFID II implementation.

  1. FCA's key priorities for the financial advice industry

    Speeches Published: 02/11/2022 Last modified: 13/06/2023
    Speech by Therese Chambers, our Director of Consumer Investments, delivered at the Personal Finance Society's Festival of Financial Planning.

  2. Inducements and conflicts of interest thematic review: key findings

    Thematic reviews Published: 18/04/2016 Last modified: 18/04/2016
    We are not publishing a thematic report, as this work will be taken into account in our planned MiFID II consultation paper. ... However, given the recent European Parliament confirmation of the delay in implementing MiFID II to 3 January 2018, we are

  3. Update of position limits for certain commodity derivative contracts

    Statements Published: 07/12/2020 Last modified: 07/12/2020
    The Financial Conduct Authority (FCA) has today published updated position limits for certain commodity derivative contracts traded on ICE Futures Europe. The limits have been established under the Markets in Financial Instruments Regulations 2017

  4. CP14/25: Changes to the Approved Persons Regime for Solvency II firms

    Consultation papers Published: 26/11/2014 Last modified: 30/09/2016
    the FCA’s role in reviewing firms’ assessments of the fitness and propriety of certain important individuals within these firms, to support the implementation of Solvency II. ... This is a slightly shortened consultation period, to enable us to

  5. Firms need to register for Connect to update their firm details

    News stories Published: 13/09/2019 Last modified: 13/09/2019
    Firms need to register for our online Connect platform. You will need it to send us your firm details - also known as a mandatory annual update. This will be a requirement from January 2020, so we suggest you register now in preparation.

  6. FCA fines UBS AG £27.6 million for transaction reporting failures

    Press Releases Published: 19/03/2019 Last modified: 19/03/2019
    UBS AG (UBS) has been fined £27,599,400 by the Financial Conduct Authority (FCA) for failings relating to 135.8 million transaction reports between November 2007 and May 2017.

  7. Our Perimeter Report

    Annual reports Published: 20/07/2022 Last modified: 05/04/2024
    Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products

  8. Challenges for the regulator - consumer credit, long-term savings and an ageing population

    Speeches Published: 04/10/2017 Last modified: 04/10/2017
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at City Banquet, Mansion House.

  9. FCA announces extension to its use of the temporary transitional power

    Press Releases Published: 25/07/2019 Last modified: 25/07/2019
    The Financial Conduct Authority (FCA) today confirmed it intends to extend the proposed duration of the directions issued under the temporary transitional power to the 31 December 2020. This is to reflect the extension of Article 50. Other than the

  10. DP20/2: Prudential requirements for MiFID investment firms

    Discussion papers Published: 23/06/2020 Last modified: 17/12/2020
    This Discussion Paper sets out initial views as well as technical details on the Investment Firm Directive (IFD) and the Investment Firm Regulation (IFR). The Government will be introducing a framework for the new regime for UK firms. We are seeking
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