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Showing 361 to 370 of 444 search results for Statement on MiFID II.

  1. Personal investment firms that give bad advice to hold capital for redress

    Press Releases Published: 29/11/2023 Last modified: 30/11/2023
    Our proposals to require personal investment firms to set aside capital so that they can cover compensation costs.

  2. FCA confirms extension of the Temporary Permission Regime deadline

    Press Releases Published: 24/05/2019 Last modified: 24/05/2019
    The FCA has today confirmed the deadline for notifications for the temporary permissions regime (TPR) will be extended to the end of 30 October 2019. TPR would allow EEA-based firms passporting into the UK to continue new and existing regulated

  3. PS15/29: Strengthening accountability in banking: Final amendments to the Decision Procedure and Penalties Manual and the Enforcement Guide

    Policy statements Published: 09/12/2015 Last modified: 26/05/2016
    Policy statements First published:. 09/12/2015. Last updated: 26/05/2016. Share page. ... This policy statement will be relevant to:. UK banks, building societies, credit unions.

  4. FCA's key priorities for the financial advice industry

    Speeches Published: 02/11/2022 Last modified: 13/06/2023
    Speech by Therese Chambers, our Director of Consumer Investments, delivered at the Personal Finance Society's Festival of Financial Planning.

  5. Maintaining market confidence: an update on Brexit

    Speeches Published: 05/11/2018 Last modified: 05/11/2018
    Speech delivered by Nausicaa Delfas, Executive Director of International at the City and Financial: 3rd UK Financial Services Brexit Summit

  6. IFPR implementation observations: quantifying threshold requirements and managing financial resources

    Multi-firm reviews Published: 27/02/2023 Last modified: 09/03/2023
    Firms should consider these and how they can strengthen their processes.

  7. DRSP authorisation and supervision forms

    Firms Markets Markets policy Published: 13/01/2017 Last modified: 15/12/2022
    We have a number of MAR 9 forms to help your application process. 'Find out about the different data reporting services providers (DRSP) authorisation and supervision documents you may need.

  8. How regulation can prepare the ground for economic growth

    Speeches Published: 27/09/2022 Last modified: 27/09/2022
    Speech by Sarah Pritchard, Executive Director, Markets at the City and Financial Global: The Future of UK Financial Services Regulation Summit.

  9. FCA fines Merrill Lynch International £13.2 million for transaction reporting failures

    Press Releases Published: 22/04/2015 Last modified: 22/04/2015
    MiFID II will take effect from 3 January 2017 and will mean additional instruments will be transaction reported to the FCA and other competent authorities. ... MiFID II has been comprehensively revised to improve the functioning of financial markets in

  10. Consumer Investments: Strategy and Feedback Statement

    Corporate documents Published: 14/09/2021 Last modified: 15/06/2023
    The FCA sets out its view of consumer harm in this market and its 3-year strategy to address this. 
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