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Showing 301 to 310 of 349 search results for implementing MiFID II.
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Liquidity Management multi-firm review
Informing the asset management industry of the conclusions and recommendations from our multi-firm review on fund liquidity management. -
Investment managers still failing to ensure effective oversight of best execution
We outline findings from supervisory work looking at how investment managers deliver best execution for their clients. -
PS17/21: Insurance Distribution Directive implementation – Feedback to CP17/7 and near-final rules
This is our first Policy Statement setting out our near final rules for our implementation of the Insurance Distribution Directive (IDD). -
The FCA sees improvements in suitability at wealth managers, but concerns remain
MiFID II will be coming into force in the UK and some of its provisions will apply to firms providing portfolio management services to retail customers. -
Payment for order flow multi-firm review findings
This final report on our recent supervisory work on conflicts of interest and payment for order flow (PFOF) follows the preliminary findings published in Market Watch 56 in September 2018. -
AI and financial crime: silver bullet or red herring?
Speech by Rob Gruppetta, Head of the Financial Crime Department, delivered at Chatham House. -
FCA fines Merrill Lynch International £13.2 million for transaction reporting failures
MiFID II will take effect from 3 January 2017 and will mean additional instruments will be transaction reported to the FCA and other competent authorities. ... MiFID II has been comprehensively revised to improve the functioning of financial markets in -
FCA publishes terms of reference for its investment and corporate banking market study
The Financial Conduct Authority (FCA) has set out the issues it will focus on as part of its market study into competition in investment and corporate banking. -
Putting the customer at the centre of the business: is it a long road ahead for the FCA?
Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the RiskMinds conference Conduct Forum in Brussels. This is the text of the speech as drafted, which may differ from the delivered version. -
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).