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Showing 211 to 220 of 349 search results for implementing MiFID II.

211. MiFID investment services and activities and investments types form [docx]

     Forms Published: 27/01/2017 Last modified: 29/03/2022
     MiFID investment services and activities and investments types form.

212. MiFID Investment and Home Finance Supplement Notes [docx]

     Forms Published: 13/01/2017

213. MiFID Fees and Levies Supplement Notes: Wholesale [docx]

     Forms Published: 13/01/2017

214. Personal data and authorisation

     Last modified: 25/01/2024
     How and why the FCA uses personal data that is collected via forms on its online portals: Connect, RegData and Online Invoicing.

215. Transparency waivers and deferrals

     Firms Focus areas Markets Markets policy Published: 23/05/2016 Last modified: 11/01/2023
     Market operators and investment firms operating a UK trading venue that would like a pre-trade transparency waiver must apply to us in advance. Find out how to apply for waivers and deferrals.

216. MiFID Controller Form: Legal Persons and Partnerships [docx]

     Forms Published: 13/01/2017 Last modified: 17/03/2022
     MiFID Controller Form: Legal Persons and Partnerships

217. Dear CEO letter - Payment for Order Flow [pdf]

     Correspondence Published: 13/12/2017
     This letter sets out the FCA’s views on PFOF in the context of the evolving landscape under MiFID II, drawing attention to the new requirements and that the FCA will take strong action against firms that are identified breaching the new standards.

218. Market integrity and strategic approach

     Speeches Published: 07/02/2020 Last modified: 20/03/2024
     FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on the confluence of EU, UK and US law and practice in our securities markets.

219. UK MiFID framework notifications

     Firms Markets Markets policy Published: 13/01/2017 Last modified: 09/10/2023
     If you’re an authorised investment firm find out more about the notifications you may need to make.

220. Christopher Woolard’s statement welcoming the IDWG recommendations

     Statements Published: 05/07/2018 Last modified: 05/07/2018
     On 15 June 2018 we received the report of recommendations from the Institutional Disclosure Working Group (IDWG). The IDWG has now also published a summary of their recommendations.