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Showing 381 to 390 of 684 search results for mifid ii.

381. [doc]

     Forms Published: 06/07/2018 Last modified: 11/05/2022
     mifid-partnership-notification-for-change-in-controller.doc

382. DP20/2: A new UK prudential regime for MiFID investment firms [pdf]

     Discussion papers Published: 23/06/2020
     This discussion paper sets out the details of the EU’s new prudential regime for investment firms (IFD/IFR), and seeks feedback from stakeholders on the appropriate rules for the UK to apply in this area

383. York Global Finance

     Warnings Published: 06/10/2022 Last modified: 06/10/2022
     York Global Finance is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals.

384. CP21/26: A new UK prudential regime for MiFID investment firms [pdf]

     Consultation papers Published: 06/08/2021
     We are seeking views on the third tranche of our proposed rules to introduce the Investment Firms Prudential Regime a new prudential regime for UK firms authorised under the Markets in Financial Instruments Directive.

385. CP21/28: New cancellation and variation power: Changes to the Handbook and Enforcement Guide [pdf]

     Consultation papers Published: 09/09/2021
     We are seeking views on the third tranche of our proposed rules to introduce the Investment Firms Prudential Regime (IFPR), a new prudential regime for UK firms authorised under the Markets in Financial Instruments Directive (MiFID).

386. [doc]

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

387. Apply to become a consumer investments firm

     Firm authorisation Published: 09/11/2023 Last modified: 19/12/2023
     Find out how to apply to the FCA for authorisation if you're a consumer investments firm, such as a financial adviser or investment platform.

388. FS14/1: Feedback Statement on FSA CP12/13 Solvency II – COBS rule changes [pdf]

     Feedback statements Published: 14/10/2014 Last modified: 16/01/2015

389. PS17/25: Policy Statement on Financial Advice Market Review Implementation Part II and Consultation on Retiring FG12/15 and FG14/1 [pdf]

     Policy statements Published: 08/12/2017

390. Article 4 Information Form [docx]

     Forms Published: 15/12/2021
     MiFID members of the management body and key function holders - Article 4 Information Form (SMR)