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Showing 331 to 340 of 390 search results for MiFID II implementation.

  1. FCA fines Goldman Sachs International £34.3 million for transaction reporting failures

    Press Releases Published: 28/03/2019 Last modified: 28/03/2019
    Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and timely reporting relating to 220.2 million transaction reports between November 2007 and March 2017.

  2. Call for Input: SME access to the Financial Ombudsman Service

    Firms Calls for input Published: 17/03/2023 Last modified: 19/06/2023
    We are looking to start a review of the rules extending SME access to FOS.

  3. Information on open FCA enforcement investigations - December 2020

    FOI Release Date of Release: 21/12/2020
    The FCA provides a breakdown by category of all open FCA investigations as at the 23 November 2020.

  4. How regulation can prepare the ground for economic growth

    Speeches Published: 27/09/2022 Last modified: 27/09/2022
    Speech by Sarah Pritchard, Executive Director, Markets at the City and Financial Global: The Future of UK Financial Services Regulation Summit.

  5. Cwyno amdanom ni, y PRA neu Banc Lloegr (y rheoleiddwyr)

    Last modified: 04/02/2019
    Cael gwybod sut i wneud cwyn am y rheoleiddwyr a sut rydym yn ymchwilio i gwynion.

  6. Update of position limits for certain commodity derivative contracts

    News stories Published: 05/05/2020 Last modified: 05/05/2020
    The FCA has published updated position limits for certain commodity derivative contracts traded on UK trading venues. The limits have been established under the Markets in Financial Instruments Regulations 2017 (MIFI Regs).

  7. Consumer Investments: Strategy and Feedback Statement

    Corporate documents Published: 14/09/2021 Last modified: 15/06/2023
    The FCA sets out its view of consumer harm in this market and its 3-year strategy to address this. 

  8. Regulating financial innovation – going behind the scenes

    Speeches Published: 02/07/2019 Last modified: 11/09/2019
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Cambridge Centre for Alternative Finance annual conference, Judge Business School.

  9. Recovery plans – initial observations

    News stories Published: 19/05/2016 Last modified: 19/05/2016
    it to take effect, and (ii) doubts about the level of additional capital/liquidity that would be generated. ... We considered such arrangements unacceptable as an early warning indicator as it was unlikely to provide sufficient time for senior management

  10. MiFID Investment, Home Finance and Non-Investment Insurance Contracts Supplement Form [docx]

    Forms Published: 13/01/2017
    MiFID Investment, Home Finance and Non-Investment Insurance Contracts Supplement Form
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