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Information on transaction reporting under MiFIR - May 2022
The FCA answers questions regarding transaction reporting under MiFIR. -
Automated advice: existing rules and guidance
Before applying for Innovation Pathways, read our existing rules and guidance to check whether your question is covered. -
CP21/7 A new UK prudential regime for MiFID investment firms
We are consulting on our second phase of proposed rules to introduce the UK Investment Firm Prudential Regime (IFPR). IFPR is a new prudential regime for UK firms authorised under the Markets in Financial Instruments Directive (MiFID). -
Preparing for Brexit in financial services: the state of play
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at Bloomberg - London -
How regulation can prepare the ground for economic growth
Speech by Sarah Pritchard, Executive Director, Markets at the City and Financial Global: The Future of UK Financial Services Regulation Summit. -
Remuneration and performance management of sales staff (SYSC 19F)
FCA provides rules on staff incentives and the remuneration of sales staff and advisers. -
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. -
Updates to the FCA’s directions under the Temporary Transitional Power
Today, the Financial Conduct Authority (FCA) has updated and published draft directions under its Temporary Transitional Power (TTP). The TTP gives the FCA flexibility in applying post-Brexit requirements, allowing firms to transition to a new UK -
PS16/13: Implementation of the Market Abuse Regulation
In this Policy Statement we report on the main issues arising from Consultation Paper 15/35: Policy proposals and Handbook changes related to the implementation of the Market Abuse Regulation (2014/596/EU) – and Consultation Paper 15/38: -
Cwyno amdanom ni, y PRA neu Banc Lloegr (y rheoleiddwyr)
Cael gwybod sut i wneud cwyn am y rheoleiddwyr a sut rydym yn ymchwilio i gwynion.