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Showing 391 to 400 of 444 search results for Statement on MiFID II.

  1. Implementing Technology Change

    Firms Multi-firm reviews Published: 05/02/2021 Last modified: 05/02/2021
    This review sets out the findings from our cross-Financial Services change management review which looked at how financial firms manage technology change, the impact of change failures and the practices utilised within the industry to help reduce

  2. FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms

    Press Releases Published: 13/08/2015 Last modified: 19/04/2016
    banks, and also confirms reforms to the approved persons regime for Solvency II firms. ... The FCA has today set out final rules for the approved persons regime for individuals working in Solvency II firms.

  3. Liquidity Management multi-firm review

    Multi-firm reviews Published: 06/07/2023 Last modified: 06/07/2023
    Informing the asset management industry of the conclusions and recommendations from our multi-firm review on fund liquidity management.

  4. Securitisation Regulation: PRA and FCA joint statement on reporting of private securitisations

    Statements Published: 20/12/2018 Last modified: 20/12/2018
    This statement sets out how the Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) propose to direct the manner in which firms must make information regarding ‘private’ securitisations available to their UK competent

  5. PS18/3: Perimeter guidance on personal recommendations on retail investments

    Policy statements Published: 23/02/2018 Last modified: 23/02/2018
    This Policy Statement sets out our response to feedback on new perimeter guidance on what constitutes a personal recommendation, which we published in consultation CP17/28: FAMR Implementation Part II and insistent clients (PDF).

  6. CP15/10: Strengthening accountability in banking: UK branches of foreign banks

    Consultation papers Published: 16/03/2015 Last modified: 14/09/2015
    On 3 March 2015, the Treasury announced in a Written Ministerial Statement (WMS) to Parliament that it would apply the new accountability regimes to incoming branches. ... We plan to publish a policy statement containing final rules for incoming branches

  7. 10% depreciation notifications: further extension of temporary measures for firms

    Statements Published: 21/12/2021 Last modified: 21/01/2022
    Since March 2020 we have adopted temporary measures on the requirement for firms to issue 10% depreciation notifications to investors (COBS 16A.4.3 UK).

  8. FCA seeks industry views on a new prudential regime for UK investment firms

    Press Releases Published: 23/06/2020 Last modified: 11/04/2024
    The FCA has published a discussion paper on a prudential regime for UK investment firms.

  9. FCA launches discussion on improving the financial services compensation framework

    Press Releases Published: 06/12/2021 Last modified: 06/12/2021
    FCA seeks views on fundamental questions about the purpose, scope and funding of it's compensation framework

  10. Andrew Bailey introductory speech on multilateralism and global coordination: A case for balancing autonomy and co-operation in the interests of financial markets

    Speeches Published: 06/09/2018 Last modified: 06/09/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, at the Eurofi Financial Forum, on multilaterialism and global coordination. 
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