Search results
Showing 371 to 380 of 390 search results for MiFID II implementation.
-
IFPR implementation observations: quantifying threshold requirements and managing financial resources – concluding report
Further observations on how firms are implementing requirements on the Internal Capital Adequacy and Risk Assessment process and reporting under the Investment Firms Prudential Regime. -
Consumer Investments Strategy - 2 Year Update
The FCA provides a 2 year update on its progress against the workstreams and outcomes it committed to in its Consumer Investments Strategy in September 2021. -
FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms
banks, and also confirms reforms to the approved persons regime for Solvency II firms. ... These will support the implementation of the fitness and propriety requirements of Solvency II in a way that is proportionate and minimises the burden on firms, by -
FCA appoints new Director of Enforcement and Market Oversight and Director of Risk
These appointments represent the next stage of the implementation of the FCA’s new strategic approach and the associated new leadership structure which was announced last December. ... Between 1995 and 2008 Barbara held a number of senior roles at ABN -
PS19/28: Proxy Advisors (Shareholders’ Rights) Regulations Implementation (DEPP and EG)
We are setting out changes to our DEPP and EG regulatory guides and processes now that we have new powers to discipline and investigate proxy advisors. -
CP15/34: Regulatory fees and levies: policy proposals for 2016/17
recover the data reporting costs associated with market monitoring under the Markets in Financial Instruments Directive (MiFID II) and Markets in Financial Instrument Regulation (MiFIR). -
CP16/9: FCA regulated fees and levies: rates proposals 2016/17
We are consulting on our proposed 2016/17 regulatory fees and levies -
PA Consulting’s Digital Regulatory Reporting: A Review of Phase 1 and 2 of the Digital Regulatory Reporting Initiative
The FCA and Bank of England commissioned PA Consulting to conduct an independent review into the Digital Regulatory Reporting (DRR) programme, critically evaluating key outputs and recommending next steps for future work. -
CP18/28: Brexit: proposed changes to the Handbook and Binding Technical Standards – first consultation
In this paper, we publish our proposals on how we will amend our Handbook and EU derived binding technical standards (BTS) if the UK leaves the EU without an implementation period in place. We also set out our proposed approach to EU -
TR15/2: Structured Products: Thematic Review of Product Development and Governance
Our recent work in the structured products market has focused on better understanding consumer behaviour and the way that firms approach product development and governance.