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Showing 381 to 390 of 444 search results for Statement on MiFID II.

  1. Information in relation to FCA exercise of competition enforcement powers - November 2021

    FOI Release Date of Release: 05/11/2021
    The FCA provides information regarding what actions it took in relation to competition enforcement powers.

  2. FCA sets out approach to Non-Executive Directors and the Senior Managers Regime

    Press Releases Published: 23/02/2015 Last modified: 23/02/2015
    Consultation paper: Approach to non-executive directors in banking and Solvency II firms & Application of the presumption of responsibility to Senior Managers in banking firm. ... for deposit-takers, a comprehensive feedback statement responding to our

  3. Information on fines and active or closed investigations since January 2018 - April 2020

    FOI Release Date of Release: 23/04/2020
    The FCA provides information on any fines levied and the number of active or closed investigations since January 2018 for breaching requirements under Directive 2014/65/EU (MiFID II) and Regulation (EU) No 600/2014 (MiFIR) to report RTS 24 order

  4. Firms continuing operating in the UK under the Temporary Permissions Regime - February 2021

    FOI Release Date of Release: 01/02/2021
    The FCA provides information about firms that notified the FCA they wished to continue operating in the UK at the end of the Brexit transitional period.

  5. SM&CR categorisation for solo-regulated firms

    Tasks for regulated firms Published: 31/07/2019 Last modified: 06/02/2023
    Under SM&CR, solo-regulated firms are categorised as limited scope, core or enhanced. Find out which category your firm is in and how you can review this.

  6. AI and financial crime: silver bullet or red herring?

    Speeches Published: 20/11/2018 Last modified: 20/11/2018
    Speech by Rob Gruppetta, Head of the Financial Crime Department, delivered at Chatham House. 

  7. PS19/11: Product intervention measures for retail binary options

    Policy statements Published: 29/03/2019 Last modified: 29/03/2019
    In this paper, the FCA sets out its final position and Handbook rules to permanently prohibit the sale, marketing and distribution of binary options to retail consumers by firms that carry out activity in, or from, the UK.

  8. CFD firms fail to meet our expectations on appropriateness assessments

    Multi-firm reviews Published: 29/06/2017 Last modified: 29/06/2017
    Findings from our review of appropriateness assessments for sales of contracts for difference (CFD) products, through a sample of 23 firms.

  9. PS21/4: Extension of Annual Financial Crime Reporting Obligation

    Policy statements Published: 30/03/2021 Last modified: 29/03/2022
    This PS summarises our proposal to increase the number of firms who need to submit the annual financial crime report, which we refer to as ‘REP-CRIM’.

  10. Statement about broker-operated systems trading physically settled gas and power forwards

    Statements Published: 27/11/2013 Last modified: 27/11/2013
    Statements First published:. 27/11/2013. Last updated: 27/11/2013. Share page. ... the Markets in Financial Instruments Directive (MiFID).These reviews were focusing on the interpretation of the multilateral trading facility (MTF) category under MiFID.
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