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Showing 401 to 410 of 684 search results for mifid ii.

  1. Market Watch 71

    Newsletters Published: 13/12/2022 Last modified: 13/12/2022
    In this edition we share our observations about changes in advisory firms’ insider lists since the publication of Market Watch 60.

  2. PS15/21: Changes to the Approved Persons Regime for Solvency II firms: Final rules (including feedback on CP14/25, CP15/5 and CP15/16), and consequentials relating to CP15/22 on strengthening accountability in banking [pdf]

    Policy statements Published: 13/08/2015 Last modified: 30/09/2015

  3. Industry testing for FCA FITRS

    Firms Focus areas Published: 04/10/2019 Last modified: 15/12/2020
    On this page we outline the plan for industry tests of FCA FITRS (Financial Instrument Transparency System) which will run from 10 October to 25 October 2019.

  4. FSA - PS12/14 [pdf]

    Policy statements Published: 27/07/2012 Last modified: 30/05/2013
    Policy FSA - PS12/14 - Firms give a Key Features Illustration (KFI) to consumers buying packaged products that do not come within the scope of the Markets in Financial Instruments Directive at the point of sale.

  5. Wholesale markets firm applicants

    Firm authorisation Published: 04/07/2023 Last modified: 02/07/2024
    If you're a wholesale investment firm, you have to be authorised by us. Learn how to prepare your application and what you need to read first.

  6. DEBTFREE CRYPTO

    Warnings Published: 22/06/2022 Last modified: 22/06/2022
    DEBTFREE CRYPTO is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals.

  7. The technology challenge

    Speeches Published: 10/06/2014 Last modified: 19/06/2014
    Speech by Martin Wheatley, CEO, the FCA, at Lansons, London. This is the text of the speech as drafted, which may differ from the delivered version.

  8. FSA - CP12/10 [pdf]

    Consultation papers Published: 31/05/2012 Last modified: 11/07/2016
    Consultation FSA - CP12/10 - This Consultation Paper (CP) is a joint consultation between the FSA and the Financial Reporting Council (FRC). As well as updating the assumptions to be used for non-MiFID product projections and transfer value analysis

  9. MiFID AIFM Supplement Form [docx]

    Forms Published: 13/01/2017 Last modified: 13/01/2017

  10. ANNEX III: Notification form for changes to the membership of the management body [docx]

    Forms Published: 12/03/2018
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