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RMA-C Client money and assets: FAQs
RMA-C Client money and assets. -
DP20/2: Prudential requirements for MiFID investment firms
This Discussion Paper sets out initial views as well as technical details on the Investment Firm Directive (IFD) and the Investment Firm Regulation (IFR). The Government will be introducing a framework for the new regime for UK firms. We are seeking -
Competition enforcement powers information - October 2020
FCA provides information relating to competition enforcement powers. -
Primary Market Bulletin 40
In this edition we provide feedback on our consultation in PMB 34 and highlight changes to the Knowledge Base on the prospectus regime as a result of the consultation. -
FCA introduces new rules on whistleblowing
Solvency II directive; they are non-binding guidance for all other firms we supervise. -
PS21/17: A new UK prudential regime for MiFID investment firms
This is the third in a series of policy statements that set out our rules to introduce the Investment Firms Prudential Regime IFPR regime. -
Primary Market Bulletin 34
This edition consults on changes we propose to make to our Knowledge Base in relation to the prospectus regime. -
UK RRD: Handbook rules
The FCA provides information on how UK RRD was implemented in the through several statutory instruments that amended UK legislation -
Fair and effective markets review
Regulatory reforms in Europe like MiFID 2 and the new Market Abuse Regulation, and in the US like the Dodd-Frank Act. ... G20 Pittsburgh agreement (e.g., MiFID 2) were probably sufficient for now. -
CP14/25: Changes to the Approved Persons Regime for Solvency II firms
In this paper we identify the proposed changes to the Approved Persons Regime for Solvency II firms. ... This Consultation Paper proposes changes to the Approved Persons Regime for Solvency II firms to address:.