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Showing 361 to 370 of 390 search results for MiFID II implementation.

  1. Review of host Authorised Fund Management firms

    Multi-firm reviews Published: 30/06/2021 Last modified: 05/08/2021
    We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed.

  2. Firms continuing operating in the UK under the Temporary Permissions Regime - February 2021

    FOI Release Date of Release: 01/02/2021
    The FCA provides information about firms that notified the FCA they wished to continue operating in the UK at the end of the Brexit transitional period.

  3. FCA responds to independent reviews into its regulation of London Capital & Finance and Connaught

    Press Releases Published: 17/12/2020 Last modified: 17/12/2020
    The FCA has responded to the independent investigations of its supervision of London Capital & Finance plc (LCF) and Connaught Income Fund Series 1 and connected companies (Connaught)

  4. Consumer Investments Strategy – 1 year update

    Corporate documents Published: 18/10/2022 Last modified: 15/06/2023
    The FCA provides an update on its progress against the workstreams and outcomes it committed to in its Consumer Investments Strategy in September 2021.

  5. Competition in the asset management industry: UK experiences, global implications

    Speeches Published: 24/10/2017 Last modified: 24/10/2017
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Securities Industry and Financial Markets Association's (SIFMA) 2017 Annual Meeting.

  6. CP15/27: UCITS V implementation and other changes to the Handbook affecting investment funds

    Consultation papers Published: 03/09/2015 Last modified: 18/01/2017
    CP15/27: UCITS V implementation and other changes to the Handbook affecting investment funds. ... CP15/27: UCITS V implementation and other changes to the Handbook affecting investment funds (PDF).

  7. TR15/12: Wealth management firms and private banks: suitability of investment portfolios

    Thematic reviews Published: 09/12/2015 Last modified: 13/10/2016
    MiFID II will be coming into force in the UK and some of its provisions will apply to firms providing portfolio management services to retail customers.

  8. FCA steps up efforts to ensure firms are getting ready for a no-deal Brexit

    Press Releases Published: 11/09/2019 Last modified: 06/10/2020
    We are stepping up our efforts to ensure firms are aware of what they need to do to prepare for the potential of a no-deal Brexit.

  9. Information on fines and active or closed investigations since January 2018 - April 2020

    FOI Release Date of Release: 23/04/2020
    The FCA provides information on any fines levied and the number of active or closed investigations since January 2018 for breaching requirements under Directive 2014/65/EU (MiFID II) and Regulation (EU) No 600/2014 (MiFIR) to report RTS 24 order

  10. Call for Input: PRIIPs Regulation – initial experiences with the new requirements

    Feedback statements Published: 28/02/2019 Last modified: 28/02/2019
    In this Feedback Statement, we summarise responses to our Call for Input on the Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation. We also outline our next steps.
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