Search results
Showing 271 to 280 of 349 search results for implementing MiFID II.
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IFPR implementation observations: quantifying threshold requirements and managing financial resources
Firms should consider these and how they can strengthen their processes. -
Challenges for the regulator - consumer credit, long-term savings and an ageing population
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at City Banquet, Mansion House. -
Automated advice: existing rules and guidance
Before applying for Innovation Pathways, read our existing rules and guidance to check whether your question is covered. -
CP23/27: Reforming the commodity derivatives regulatory framework
This consultation sets out our proposals concerning position limits, the exemptions from those limits, position management controls, the reporting regime and the ancillary activities test. -
FCA publishes rules that will apply at the end of the transition period
We've published an updated version of the FCA Handbook to show the rules that will apply at the end of the transition period. -
PS23/11: Guidance on the trading venue perimeter
Consultation on new guidance on the regulatory perimeter for trading venues -
Remuneration and performance management of sales staff (SYSC 19F)
FCA provides rules on staff incentives and the remuneration of sales staff and advisers. -
Information on transaction reporting under MiFIR - May 2022
The FCA answers questions regarding transaction reporting under MiFIR. -
FCA fines Goldman Sachs International £34.3 million for transaction reporting failures
Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and timely reporting relating to 220.2 million transaction reports between November 2007 and March 2017. -
Partly contested cases, the pipeline and AML investigations
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.