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Showing 201 to 210 of 444 search results for Statement on MiFID II.

  1. Market Watch issue 64: market conduct and Brexit and MiFID II transaction reporting issues [pdf]

    Newsletters Published: 27/08/2020 Last modified: 27/08/2020
    This edition of Market Watch provides important information to help MiFID II firms prepare for the end of the transition period.

  2. PRA CP18/17, FCA CP17/34: Occasional Consultation Paper [pdf]

    Consultation papers Published: 03/10/2017

  3. DP15/3: Developing our approach to implementing MiFID II conduct of business and organisational requirements [pdf]

    Discussion papers Published: 26/03/2015 Last modified: 26/03/2015

  4. MiFID Annex for VOP Application Form [docx]

    Forms Published: 13/01/2017 Last modified: 26/05/2022
    This MiFID Annex for VOP Applications can be used to provide information required by the RTS under 7(4) of MiFID II that has changed since your initial authorisation.

  5. MiFID Annex II: Notification form for the list of members of the management body [docx]

    Forms Published: 13/01/2017 Last modified: 17/03/2022
    MiFID Annex II: Notification form for the list of members of the management body form

  6. MiFID ITS Annex II (List of Members of a Management Body) Form [docx]

    Forms Published: 13/01/2017 Last modified: 22/03/2022
    MiFID ITS Annex II (List of Members of a Management Body) Form.

  7. PS21/20: Changes to UK MIFID's conduct and organisational requirements [pdf]

    Policy statements Published: 30/11/2021
    This Policy Statement summarises the feedback received to CP21/9 and outlines our final position and Handbook rule changes to UK MIFID's conduct and organisational requirements.

  8. PS15/31: Final Rules on changes to the Approved Persons Regime for insurers not subject to Solvency II

    Policy statements Published: 16/12/2015 Last modified: 26/05/2016
    In this policy statement we provide feedback on responses to CP15/25 ‘Changes to the Approved Persons Regime for insurers not subject to Solvency II’ (i.e. ... Policy Statement 15/31 [PDF]. This policy statement affects all firms with permission to

  9. MiFID Authorisation Form [docx]

    Forms Published: 13/01/2017 Last modified: 22/03/2022
    MiFID Authorisation Form

  10. Minutes of the MiFID II implementation roundtable January 2016 [pdf]

    Meeting minutes Published: 08/01/2016 Last modified: 08/01/2016
    From the meeting held on 6 January 2016
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