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Showing 371 to 380 of 444 search results for Statement on MiFID II.
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FCA publishes terms of reference for its investment and corporate banking market study
The Financial Conduct Authority (FCA) has set out the issues it will focus on as part of its market study into competition in investment and corporate banking. -
Investment managers still failing to ensure effective oversight of best execution
We outline findings from supervisory work looking at how investment managers deliver best execution for their clients. -
FCA publishes terms of reference for asset management market study
MIFID II comes into force in the UK on 3 January 2017 and some of its provisions will apply to investment firms in the asset management sector. -
The vital relationship between the regulator and the advisory industry
Speech by John Griffith-Jones, Chairman of the FCA, at The Association of Professional Financial Advisers (APFA) Annual Gala Dinner delivered at Banking Hall, London. This is the text of the speech as drafted, which may differ from the delivered -
Payment for order flow multi-firm review findings
This final report on our recent supervisory work on conflicts of interest and payment for order flow (PFOF) follows the preliminary findings published in Market Watch 56 in September 2018. -
Strengthening accountability in banking and insurance: regulatory references final rules: PS16/22
We are publishing our final rules on regulatory references. -
FS19/7: Building a regulatory framework for effective stewardship
In January 2019, jointly with the Financial Reporting Council (FRC), we published a Discussion Paper, Building a Regulatory Framework for Stewardship (DP 19/1). This Feedback Statement (FS) responds to the views we received, within the scope of our -
The FCA sees improvements in suitability at wealth managers, but concerns remain
MiFID II will be coming into force in the UK and some of its provisions will apply to firms providing portfolio management services to retail customers. -
Five sentenced in FCA prosecution of £2.8m investment fraud
Operation Tidworth was the FCA’s second largest ever criminal prosecution. The instigator and main beneficiary of the fraud, Michael Nascimento, will be sentenced separately on 14 September 2018. -
Potentially Anomalous Trading Ratio 2019/20
The FCA committed to developing and publishing additional measures that will further illustrate the state of UK markets.