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Showing 351 to 360 of 684 search results for mifid ii.

351. MiFID Controller Form: Trust [docx]

     Forms Published: 13/01/2017 Last modified: 17/03/2022
     MiFID Controller Form: Trust

352. MiFID Transparency Waiver Form [docx]

     Forms Published: 07/04/2022
     MiFID Transparency Waiver Form

353. FSA - CP11/23 [pdf]

     Consultation papers Published: 09/11/2011 Last modified: 30/05/2013
     Consultation FSA - CP11/23 - The FSA's Consultation Paper CP11/23 is entitled 'Solvency II and linked long-term insurance business'. It was published in

354. Depositaries

     Focus areas Published: 08/06/2016 Last modified: 01/02/2023
     How to apply to act as a depositary of an authorised or unauthorised Alternative Investment Fund.

355. CP15/16: Changes to the Approved Persons Regime for Solvency II firms [pdf]

     Consultation papers Published: 27/03/2015 Last modified: 14/09/2015
     In a joint consultation with the Prudential Regulation Authority (PRA), we are proposing changes to our regime for regulating key individuals in firms subject to the Solvency II Directive. The FCA is also proposing changes to the governance

356. CP21/9: Changes to UK MIFID’s conduct and organisational requirements [pdf]

     Consultation papers Published: 28/04/2021
     FCA consultation paper (CP21/9) on changes to UK MIFID’s conduct and organisational requirements.

357. Cymraeg

     About us Published: 22/06/2017 Last modified: 28/02/2024
     Sut rydym yn cyflwyno ein gwasanaethau yn y Gymraeg pan yn cyflawni busnes cyhoeddus yng Nghymru.

358. External audit requirements

     Tasks for regulated firms Published: 11/05/2015 Last modified: 09/02/2023
     Some firms need to appoint an auditor to do an external audit. Read more about the external audit requirements for firms that are not PRA-regulated.

359. CP14/25 Changes to the Approved Persons Regime for Solvency II firms [pdf]

     Consultation papers Published: 26/11/2014 Last modified: 14/09/2015
     This paper identifies the proposed changes to the Approved Persons Regime for Solvency II firms.

360. PS21/20: Changes to UK MIFID's conduct and organisational requirements [pdf]

     Policy statements Published: 30/11/2021
     This Policy Statement summarises the feedback received to CP21/9 and outlines our final position and Handbook rule changes to UK MIFID's conduct and organisational requirements.