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Showing 341 to 350 of 684 search results for mifid ii.

341. [pdf]

     Documents Published: 15/10/2014 Last modified: 15/10/2014

342. Operational Resilience

     Tasks for firms Published: 17/05/2017 Last modified: 04/03/2024
     We set out the requirements of our policy and how to report an operational disruption.

343. Transaction reporting

     Markets Transaction reporting Published: 29/05/2016 Last modified: 12/01/2024
     We use transaction reports to detect and investigate suspected market abuse. Find out more about the submission of transaction reports and the data they should contain.

344. MiFID MTF Table Form [docx]

     Forms Published: 01/02/2018 Last modified: 01/02/2018

345. 2016 Disclosure Log

     Last modified: 30/01/2020
     The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2016. 

346. MiFID Self Certification 6 Form [docx]

     Forms Published: 13/01/2017
     MiFID Self Certification 6 Form.

347. MiFID Self Certification 7 Form [docx]

     Forms Published: 13/01/2017 Last modified: 30/12/2022
     MiFID Self Certification 7 Form.

348. Our regulatory focus on commodity markets

     Markets Regulated markets Published: 22/04/2016 Last modified: 14/12/2022
     Find out about key areas of our commodity markets regulation, including recognised bodies, warehousing, market abuse and actions we take.

349. Supervision of UK regulated covered bonds

     Published: 13/05/2016 Last modified: 23/06/2023
     Find out about our role supervising regulated covered bond programmes and regulated covered bonds, key features of the regime and stress testing.

350. External audit requirements for MiFID investment firms

     Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
     Find out more about external audit requirements for MiFID investment firms, including what you need to do.