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Showing 351 to 360 of 390 search results for MiFID II implementation.
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FSA CP13/9: Implementation of the Alternative Investment Fund Managers Directive Part 2
We are consulting on transposing the Alternative Investment Fund Managers Directive (AIFMD) in the UK. -
Payment for order flow multi-firm review findings
This final report on our recent supervisory work on conflicts of interest and payment for order flow (PFOF) follows the preliminary findings published in Market Watch 56 in September 2018. -
FCA fines Merrill Lynch International £13.2 million for transaction reporting failures
MiFID II will take effect from 3 January 2017 and will mean additional instruments will be transaction reported to the FCA and other competent authorities. ... MiFID II has been comprehensively revised to improve the functioning of financial markets in -
Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR). -
Capital Markets Union – a regulator’s perspective
Speech by David Lawton, Director of Markets, Policy and International, at the FCA, delivered at the Deutsche Borse Group ‘Blueprint for a European Capital Markets Union’ event on 27 May 2015 at the ETC venues, London. This is the text of the -
PS15/31: Final Rules on changes to the Approved Persons Regime for insurers not subject to Solvency II
PS15/31: Final Rules on changes to the Approved Persons Regime for insurers not subject to Solvency II. ... or of the Prudential Regulatory Authority rules imposing Solvency II requirements), and their approved persons. -
Why free trade and open markets in financial services matter
Speech by Andrew Bailey, Chief Executive of the FCA, at Reuters Newsmaker event. -
Statement about broker-operated systems trading physically settled gas and power forwards
the Markets in Financial Instruments Directive (MiFID).These reviews were focusing on the interpretation of the multilateral trading facility (MTF) category under MiFID. ... This review and implementation of any changes must be finalised before 16 -
Andrew Bailey introductory speech on multilateralism and global coordination: A case for balancing autonomy and co-operation in the interests of financial markets
Speech by Andrew Bailey, Chief Executive of the FCA, at the Eurofi Financial Forum, on multilaterialism and global coordination. -
PS18/3: Perimeter guidance on personal recommendations on retail investments
This Policy Statement sets out our response to feedback on new perimeter guidance on what constitutes a personal recommendation, which we published in consultation CP17/28: FAMR Implementation Part II and insistent clients (PDF).