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Showing 421 to 430 of 444 search results for Statement on MiFID II.
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TR16/1: Assessing suitability: Research and due diligence of products and services
We will be publishing a second consultation paper on the implementation of the Markets in Financial Instruments Directive (MiFID II) later this year. -
FCA further bolsters its leadership team as it expands its headcount
The Financial Conduct Authority (FCA) has appointed six directors as it expands its headcount to meet a growing remit and to achieve its ambitious strategy, which launched in April. The appointments announced today, which fill a mix of new and -
FCA publishes the final report of its investment and corporate banking market study
The FCA has today published the final findings of its investment and corporate banking market study and set out a targeted package of remedies to ensure effective competition in the market. -
CP17/41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime
13/12/2017. Consultation closes. 21/02/2018. Policy Statement. Summer 2018. Commencement for insurers. ... This consultation has now closed. We will consider your feedback and aim to publish a summary of responses and a policy statement in 2018. -
PS19/28: Proxy Advisors (Shareholders’ Rights) Regulations Implementation (DEPP and EG)
We are setting out changes to our DEPP and EG regulatory guides and processes now that we have new powers to discipline and investigate proxy advisors. -
Consumer Investments Strategy - 2 Year Update
The FCA provides a 2 year update on its progress against the workstreams and outcomes it committed to in its Consumer Investments Strategy in September 2021. -
TR15/2: Structured Products: Thematic Review of Product Development and Governance
Our recent work in the structured products market has focused on better understanding consumer behaviour and the way that firms approach product development and governance. -
FCA publishes its Business Plan for 2015/16 and announces details of new supervision and authorisation divisions
to contribute to international benchmark reform. to work with firms preparing for the implementation of MiFID II and the Market Abuse Regulation updates. -
Advice firms demonstrate some good practice on due diligence but greater consistency needed
The FCA will publish a second consultation paper on the implementation of the Markets in Financial Instruments Directive (MiFID II) later this year. -
IFPR implementation observations: quantifying threshold requirements and managing financial resources – concluding report
Further observations on how firms are implementing requirements on the Internal Capital Adequacy and Risk Assessment process and reporting under the Investment Firms Prudential Regime.