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Showing 371 to 380 of 684 search results for mifid ii.

371. FSA - PS12/5 [pdf]

     Policy statements Published: 22/03/2012 Last modified: 30/05/2013
     Policy FSA - PS12/5 - This Policy Statement reports on the main issues arising from Consultation Paper 11/25 (Distribution of Retail Investments: RDR Adviser Charging and Solvency II disclosures) and publishes final rules.

372. [doc]

     Forms Published: 06/07/2018 Last modified: 23/06/2022
     mifid-trust-notification-for-change-in-controller.doc

373. CP15/25: Changes to the Approved Persons Regime for insurers not subject to Solvency II: reforms for larger Non-Directive Firms, feedback on CP 15/15, forms, consequentials and transitional aspects [pdf]

     Consultation papers Published: 13/08/2015 Last modified: 14/09/2015
     The proposals in this CP15/25 should be considered in the context of the reforms set out in CP15/15 (Changes to the Approved Persons Regime for insurers not subject to Solvency II), and read alongside it.

374. Change in control notification forms

     Tasks for firms Published: 12/10/2019 Last modified: 13/12/2023
     Download the forms you'll need to submit a change in control notification.

375. Statements of Policy on the operation of the MiFID transparency regime

     Statements Published: 04/03/2019 Last modified: 29/08/2023
     Statements of Policy outlining how the FCA will operate the MiFID transparency regime, if the UK leaves the EU without an implementation period.

376. Balance of interests

     Speeches Published: 26/06/2013 Last modified: 18/01/2017
     Speech by Martin Wheatley, Chief Executive, the FCA, at the International Derivatives Expo, London. This is the text of the speech as drafted, which may differ from the delivered version.

377. MiFID Investment Only Supplement Form [docx]

     Forms Firm and market data Retail banking Retail investments Retail lending General insurance and protection Investment management Pensions and retirement income Published: 13/01/2017

378. [doc]

     Forms Published: 16/09/2019 Last modified: 23/06/2022
     mifid-individual-notification-for-change-in-controller.doc

379. CP21/7: A new UK prudential regime for MiFID investment firms [pdf]

     Consultation papers Published: 19/04/2021
     We are seeking views on the second tranche of our proposed rules to introduce the Investment Firm Prudential Regime.

380. MiFID Investment Only Supplement Notes [docx]

     Forms Published: 13/01/2017