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Showing 411 to 420 of 684 search results for mifid ii.

411. Proxy advisors

     Markets Published: 18/12/2019 Last modified: 17/04/2024
     Proxy advisors offer research, advice or recommendation services. Read more about the Proxy Advisors Regulations, joining our public list and reporting breaches.

412. Apply for a waiver or modification

     Tasks for firms Published: 06/05/2015 Last modified: 17/08/2023
     Find out how to apply to us for a waiver or modification of Handbook rules.

413. Wholesale brokers

     Firm authorisation Published: 05/07/2023 Last modified: 18/10/2023
     Find out what permissions you'll need to apply to the FCA for authorisation, how much you'll need to pay and what the FCA expects to see in your application.

414. Benchmark Administrator - Draft Annex II Compliance Statement [docx]

     Forms Published: 29/09/2017 Last modified: 29/03/2022
     Benchmark Administrator - Draft Annex II Compliance Statement.

415. FSA - Handbook Notice 113 [pdf]

     Handbook Published: 23/09/2011 Last modified: 30/05/2013
     On 22 September 2011 the FSA Board made changes to the Handbook in 10 instruments which make minor administrative corrections to the Handbook, none of which represents any change in FSA policy

416. FSA - GC11/24 [pdf]

     Guidance consultations Published: 11/11/2011 Last modified: 11/07/2016
     The TRUP is intended to provide firms with sufficient guidance to make informed decisions about their transaction reporting obligations. It is not designed to be a comprehensive list of how firms should report in every situation.

417. Policy development update

     News stories Published: 02/07/2020 Last modified: 10/09/2021
     The policy development update provides some information on our recent and upcoming publications but should not be regarded as comprehensive.

418. MiFID Controller Form: Natural Persons [docx]

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

419. UK’s exit from the EU delayed

     Statements Published: 30/10/2019 Last modified: 30/10/2019
     The EU and the UK have agreed to extend the date for the UK’s departure from the EU. As a result, firms do not need to take action to implement Brexit contingency plans for 31 October.

420. Controller forms needed for authorisation

     New firm authorisation Published: 09/08/2017 Last modified: 09/08/2017
     A ‘controller’ includes any person who holds a certain level of influence over a UK authorised firm, whether directly or indirectly, through ownership rights, such as shareholdings, voting rights or partnership interests. Find the right