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Showing 271 to 280 of 684 search results for mifid ii.

271. UK MiFIR data reporting and LIBOR transition

     Markets Published: 09/07/2021 Last modified: 23/05/2022
     We aim to clarify expectations for investment firms and trading venues submitting UK MiFIR transaction reports and instrument reference data in relation to LIBOR transition

272. DRSP authorisation and supervision forms

     Firms Markets Markets policy Published: 13/01/2017 Last modified: 15/12/2022
     We have a number of MAR 9 forms to help your application process. 'Find out about the different data reporting services providers (DRSP) authorisation and supervision documents you may need.

273. Investment Firms Prudential Regime final rules published

     News stories Published: 22/10/2021 Last modified: 22/10/2021
     We have made final rules to streamline and simplify prudential requirements for solo-regulated UK firms authorised under MiFID.

274. Potentially Anomalous Trading Ratio 2019/20

     Data Published: 10/09/2020 Last modified: 11/06/2021
     The FCA committed to developing and publishing additional measures that will further illustrate the state of UK markets.

275. FCA publishes terms of reference for asset management market study

     Press Releases Published: 18/11/2015 Last modified: 18/11/2015
     MIFID II comes into force in the UK on 3 January 2017 and some of its provisions will apply to investment firms in the asset management sector.

276. AI and financial crime: silver bullet or red herring?

     Speeches Published: 20/11/2018 Last modified: 20/11/2018
     Speech by Rob Gruppetta, Head of the Financial Crime Department, delivered at Chatham House. 

277. International regulatory developments affecting investment management

     Speeches Published: 05/06/2024 Last modified: 05/06/2024
     Speech by Nikhil Rathi, FCA Chief Executive, delivered at the Investment Association Annual Conference 2024.

278. Investment managers still failing to ensure effective oversight of best execution

     Multi-firm reviews Published: 03/03/2017 Last modified: 25/11/2021
     We outline findings from supervisory work looking at how investment managers deliver best execution for their clients.

279. Personal investment firms that give bad advice to hold capital for redress

     Press Releases Published: 29/11/2023 Last modified: 30/11/2023
     Our proposals to require personal investment firms to set aside capital so that they can cover compensation costs.

280. PS17/21: Insurance Distribution Directive implementation – Feedback to CP17/7 and near-final rules

     Policy statements Published: 25/09/2017 Last modified: 01/06/2018
     This is our first Policy Statement setting out our near final rules for our implementation of the Insurance Distribution Directive (IDD).