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Showing 141 to 150 of 349 search results for implementing MiFID II.

  1. FCA approach to MiFID transparency calculations

    Statements Published: 05/02/2019 Last modified: 05/02/2019
    We welcome the statement published by ESMA today on the use of UK data in ESMA databases and the performance of MiFID II calculations in the EU27 if the UK leaves the EU without a withdrawal agreement (a no-deal scenario). In this scenario, we will

  2. Market Data Processor (MDP) on-boarding application form [doc]

    Forms Published: 30/01/2017
    This MDP on-boarding application form is used to advise us what MiFID II data types an entity will be submitting.

  3. Assessing Suitability Review

    Multi-firm reviews Published: 18/05/2017 Last modified: 18/05/2017
    This report sets out the findings from our review into the market for pensions and investment advice.

  4. MiFID Authorisation Form [docx]

    Forms Published: 13/01/2017 Last modified: 22/03/2022
    MiFID Authorisation Form

  5. Training and competence

    Tasks for regulated firms Published: 12/05/2015 Last modified: 10/02/2023
    Our training and competence regime makes sure the financial services workforce is appropriately qualified and well regulated.

  6. MiFID Annex II: Notification form for the list of members of the management body [docx]

    Forms Published: 13/01/2017 Last modified: 17/03/2022
    MiFID Annex II: Notification form for the list of members of the management body form

  7. Minutes of the MiFID II implementation roundtable January 2016 [pdf]

    Meeting minutes Published: 08/01/2016 Last modified: 08/01/2016
    From the meeting held on 6 January 2016

  8. Minutes of the MiFID II implementation roundtable: November 2015 [pdf]

    Meeting minutes Published: 08/12/2015 Last modified: 08/12/2015
    From the meeting held on 30 November 2015

  9. Chairman’s speech

    Speeches Published: 18/07/2013 Last modified: 18/07/2013
    Speech by FCA Chairman, John Griffith-Jones, at the Annual Public Meeting, London. This is the text of the speech as drafted, which may differ from the delivered version.

  10. MiFID ITS Annex II (List of Members of a Management Body) Form [docx]

    Forms Published: 13/01/2017 Last modified: 22/03/2022
    MiFID ITS Annex II (List of Members of a Management Body) Form.
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