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Showing 311 to 320 of 444 search results for Statement on MiFID II.

  1. Operational resilience insights for insurance firms

    Firms General insurers and insurance intermediaries Published: 24/03/2022 Last modified: 31/01/2023
    Our rules come into force on 31 March 2022. Use these insights to review your firm’s approach and consider what actions you need to take.

  2. Requesting sample transaction reporting data

    Markets Transaction reporting Published: 28/05/2016 Last modified: 11/01/2023
    The FCA provide samples of the data back to firms after the submitted transaction reports have been validated by instrument reference data.

  3. PS21/9: Implementation of Investment Firms Prudential Regime

    Policy and guidance Policy statements Published: 26/07/2021 Last modified: 26/07/2021
    This is the second of the Policy Statements we will issue to introduce the Investment Firm Prudential Regime.

  4. TR14/7: Clarity of fund charges

    Thematic reviews Published: 07/04/2014 Last modified: 31/08/2016
    A number of new European legislations are due to be implemented over the coming years, including PRIIPS and MiFID II, which will change the way information is provided to investors at

  5. Primary Market Bulletin 34

    Newsletters Published: 24/06/2021 Last modified: 09/07/2021
    This edition consults on changes we propose to make to our Knowledge Base in relation to the prospectus regime.

  6. UK EMIR notifications and exemptions

    Markets policy Published: 24/05/2016 Last modified: 17/07/2023
    Notifications and applications under UK European Market Infrastructure Regulation (UK EMIR) fall into certain categories. Learn more about these notifications, applications and relevant technical standards.

  7. DRSP regulatory framework

    Firms Markets Markets policy Published: 13/01/2017 Last modified: 19/04/2024
    We provide guides that set out the regulatory framework for UK Data Reporting Service Providers (DRSPs). Find out more about how to use these sources.

  8. Brexit: information for retail investments firms in the UK

    Firms Published: 26/02/2019 Last modified: 21/06/2022
    If you have customers based in the EEA, find out what actions we expect you to have taken now the transition period is over.

  9. FCA publishes final report into asset management sector

    Press Releases Published: 28/06/2017 Last modified: 28/06/2017
    The Financial Conduct Authority (FCA) has today published the final findings of its asset management market study and announced the package of remedies it will take forward to address the concerns identified in its interim report into the sector.

  10. FCA introduces new rules on whistleblowing

    Press Releases Published: 06/10/2015 Last modified: 19/04/2016
    Solvency II directive; they are non-binding guidance for all other firms we supervise. ... In preparation for the new regime, relevant firms must map out how responsibilities have been allocated within the firm, and prepare Statements of Responsibilities
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