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Showing 451 to 460 of 684 search results for mifid ii.

451. Information on the appointment of a Senior Legal Adviser

     FOI Release Date of Release: 02/07/2021
     The FCA provides information on the appointment of Raj Parker as a part-time Senior Legal Adviser.

452. Consumer Credit Seminar

     Speeches Published: 21/10/2014 Last modified: 20/03/2024
     Speech by Linda Woodall, Director of Mortgage and Consumer Lending of the FCA.

453. The FCA’s role in preparing for Brexit

     Statements Published: 27/06/2018 Last modified: 31/01/2020
     Further to the announcement from the Treasury on its approach to amending financial services legislation under the European Union (Withdrawal) Act, this statement provides stakeholders with an update on how we are preparing for the UK leaving the

454. MiFID Investment and Home Finance Supplement Form [docx]

     Forms Published: 13/01/2017 Last modified: 09/12/2019
     Application for authorisation. Supplement for firms selling investments and home finance

455. Exemptions from short-selling requirements

     Markets Short selling Published: 12/05/2016 Last modified: 31/08/2023
     The EU Short Selling Regulation (SSR) introduced a private and public notification regime for investors. Learn more about exemptions, requirements, ESMA and SSR.

456. Principal trading firms

     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.

457. Supervisory Statement on the Operation of the MiFID Markets Regime after the end of the EU withdrawal transition period [pdf]

     Documents Published: 16/12/2020
     This statement sets out how we will operate the pre- and post-trade transparency regime for the secondary trading of financial instruments after the transition period.

458. Client agreements for transferring investment business

     Tasks for regulated firms Published: 15/02/2016 Last modified: 10/02/2023
     Firms carrying on designated investment businesses that acquire new clients through a transfer of business or takeover need proof of customer consent

459. International policy and commodities markets regulation

     Markets Regulated markets Published: 22/04/2016 Last modified: 14/12/2022
     Find out how international policy influences regulation of commodities markets and the affect of likely changes.

460. Alternative Investment Managers Remuneration Code (SYSC 19B)

     Tasks for regulated firms Published: 08/05/2015 Last modified: 10/02/2023
     The FCA provide information on Alternative Investment Fund Managers Remuneration Code (SYSC 19B)