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Showing 211 to 220 of 684 search results for mifid ii.

211. FCA publishes final report into asset management sector

     Press Releases Published: 28/06/2017 Last modified: 28/06/2017
     The Financial Conduct Authority (FCA) has today published the final findings of its asset management market study and announced the package of remedies it will take forward to address the concerns identified in its interim report into the sector.

212. CP22/4: Quarterly Consultation Paper No. 35

     Consultation papers Published: 04/03/2022 Last modified: 25/08/2022
     Once a quarter, we consult on proposed miscellaneous amendments to our Handbook.

213. CP15/28: Quarterly Consultation Paper No. 10

     Consultation papers Published: 04/09/2015 Last modified: 13/01/2017
     Since publishing our consultation, the MiFID II Delegated Regulation has been published and it now makes specific reference to the identification of the subject of a firm’s suitability assessment where ... As such, we concluded that it would not be

214. Partly contested cases, the pipeline and AML investigations

     Speeches Published: 04/04/2019 Last modified: 04/04/2019
     FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.

215. The future of financial services regulation in the UK

     Speeches Published: 29/10/2019 Last modified: 29/10/2019
     Speech delivered by Nausicaa Delfas, Executive Director of International, at the UK Financial Services Industry Beyond Brexit Summit, London.

216. Investor engagement in a changing regulatory landscape

     Speeches Published: 13/07/2015 Last modified: 14/07/2015
     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

217. MiFID reporting after the Brexit transition period

     Firms Focus areas Markets Markets policy Published: 04/12/2020 Last modified: 11/01/2023
     Read this page if your firm is migrating to FCA FIRDS or FCA FITRS after 31 December 2020. You will find information here about what you need to do. 

218. FCA publishes position limits for commodity derivative contracts

     Statements Published: 26/10/2017 Last modified: 26/10/2017
     The Financial Conduct Authority (FCA) has today published position limits on certain commodity derivative contracts which are traded on UK trading venues.

219. Requesting sample transaction reporting data

     Markets Transaction reporting Published: 28/05/2016 Last modified: 11/01/2023
     The FCA provide samples of the data back to firms after the submitted transaction reports have been validated by instrument reference data.

220. Authorised DRSPs

     Firms Markets Markets policy Published: 13/01/2017 Last modified: 22/01/2024
     An entity that provides a Data Reporting Service is called a Data Reporting Services Provider (DRSP). We list the DRSPs that are authorised or verified by us.