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Showing 351 to 360 of 444 search results for Statement on MiFID II.

  1. PS16/1: Reform of the legacy Credit Unions sourcebook

    Policy statements Published: 01/02/2016 Last modified: 01/02/2016
    PS16/1: Reform of the legacy Credit Unions sourcebook. Policy statements First published:. ... This policy statement is being published jointly with the Prudential Regulation Authority (PRA).

  2. Our Perimeter Report

    Annual reports Published: 20/07/2022 Last modified: 05/04/2024
    Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products

  3. Challenges for the regulator - consumer credit, long-term savings and an ageing population

    Speeches Published: 04/10/2017 Last modified: 04/10/2017
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at City Banquet, Mansion House.

  4. PS19/18: Restricting contract for difference products sold to retail clients

    Policy statements Published: 01/07/2019 Last modified: 02/07/2019
    We have finalised rules restricting how CFDs and CFD-like options are sold, marketed, and distributed to retail consumers.

  5. Third consultation on new prudential regime for UK investment firms

    News stories Published: 06/08/2021 Last modified: 06/08/2021
    We are asking UK investment firms to provide feedback on the UK Investment Firm Prudential Regime.

  6. CASS compliance – the bigger picture

    Speeches Published: 02/12/2014 Last modified: 19/12/2014
    Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version.

  7. Overall responsibility and the legal function: DP16/4

    Discussion papers Published: 28/09/2016 Last modified: 23/01/2019
    In September 2016, we launched Discussion Paper DP16/4 to clarify how and why the legal function is currently captured under the Senior Managers and Certification Regime (SM&CR) and to consider whether it should continue to be part of the regime.

  8. TR14/13 - Best execution and payment for order flow

    Thematic reviews Published: 31/07/2014 Last modified: 31/07/2014
    Additional obligations in the recast Markets in Financial Instruments Directive (MiFID II) are intended to address some of the specific weaknesses observed in this work, in particular regarding the adequacy of

  9. Cwyno amdanom ni, y PRA neu Banc Lloegr (y rheoleiddwyr)

    Last modified: 04/02/2019
    Cael gwybod sut i wneud cwyn am y rheoleiddwyr a sut rydym yn ymchwilio i gwynion.

  10. Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms

    Statements Published: 03/04/2020 Last modified: 22/09/2022
    Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms
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