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Showing 21 to 30 of 34 search results for basic advice regime under MiFID II.
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The New Market Infrastructure
Keynote speech by David Lawton, Director of Markets, at the Economist Bellwether Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
Expectations of firms selling client banks
In the FCA's view, the client bank is the firm’s asset. It will act where these lists are being sold with redress liabilities. -
Our ambitious agenda for UK asset management
Speech by Ashley Alder, FCA chair, at the Bloomberg Buy-side Forum. -
Brexit: information for retail investments firms in the UK
If you have customers based in the EEA, find out what actions we expect you to have taken now the transition period is over. -
Accomplishments of the last 5 years
Speech by John Griffith-Jones, Chairman, FCA, delivered at an event hosted by TheCityUK at Linklaters LLP, London. -
The future of financial services regulation in the UK
Speech delivered by Nausicaa Delfas, Executive Director of International, at the UK Financial Services Industry Beyond Brexit Summit, London. -
Consumer Investments: Strategy and Feedback Statement
The FCA sets out its view of consumer harm in this market and its 3-year strategy to address this. -
FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms
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. -
Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR). -
Investor engagement in a changing regulatory landscape
Of course, the debate in relation to the connection between research and dealing commission has now very much moved to the European stage, due to the development of proposals under MIFID ... II. ESMA provided its final advice to the European Commission