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Showing 361 to 370 of 684 search results for mifid ii.

  1. FSA - CP12/13 [pdf]

    Consultation papers Published: 11/07/2012 Last modified: 30/05/2013
    Consultation FSA - CP12/13 - We have published two of our series of consultations on rules to transpose the Solvency II Directive into the UK Handbook. This consultation programme is running alongside the Treasury’s transposition of Solvency II,

  2. CP20/24: A new UK prudential regime for MiFID investment firms [pdf]

    Consultation papers Published: 14/12/2020
    We seek views on the first tranche of our proposed rules to introduce the UK Investment Firm Prudential Regime (IFPR), a new prudential regime for UK firms authorised under MiFID

  3. Laying myths to rest

    Speeches Published: 17/10/2013 Last modified: 17/10/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at the British Bankers’ Association Annual International Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  4. Temporary Permissions Regime: MiFID tied agent annex [docx]

    Forms Published: 04/01/2019

  5. Direction under section 55U and section 60 and related provisions of the Financial Services and Markets Act 2000 [pdf]

    Handbook Published: 30/01/2017
    The purpose of this Direction is to: (a) create the “Long Form A – UK and Overseas Firms (not Incoming EEA) for MiFID authorisation applications”; (b) amend the Supervision manual to add the “Long Form A – UK and Overseas Firms (not

  6. CP15/15: Changes to the Approved Persons Regime for insurers not subject to Solvency II [pdf]

    Consultation papers Published: 27/03/2015 Last modified: 14/09/2015
    We are consulting on amending our regime for regulating key individuals and governance arrangements in insurers.

  7. PS15/31: Final Rules on changes to the Approved Persons Regime for insurers not subject to Solvency II [pdf]

    Policy statements Published: 16/12/2015 Last modified: 16/12/2015
    In this Policy Statement we provide feedback on responses to CP15/25 ‘Changes to the Approved Persons Regime for insurers not subject to Solvency II’ (i.e. Non-Directive Firms or NDFs) and set out the final consequential changes to the Handbook.

  8. Statements of Policy on the operation of the MiFID Transparency Regime [pdf]

    Policy statements Published: 04/03/2019 Last modified: 29/08/2023
    Statements of Policy on the operation of the MiFID Transparency Regime.

  9. [doc]

    Forms Published: 27/06/2022 Last modified: 28/06/2022
    mifid-intragroup-notification-for-change-in-controller.doc

  10. FSA - FS12/2 [pdf]

    Feedback statements Published: 29/06/2012 Last modified: 30/05/2013
    Feedback FSA - FS12/2 - This paper sets out the responses we received on Consultation Paper (CP) 11/23: Solvency II and linked long-term insurance business.
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