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Showing 501 to 510 of 684 search results for mifid ii.

  1. External audit requirements for authorised professional firms

    Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
    External audit requirements for authorised professional firms (other than MiFID investment firms). Read more about what you need to do.

  2. External audit requirements for insurance intermediaries

    Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
    Insurance intermediary audit requirements for firms. Read more about what you need to do.

  3. Regulatory Developments and the Changing Market Structure

    Speeches Published: 12/03/2014 Last modified: 12/03/2014
    Speech by David Lawton, Director of Markets at the FCA, at the American Bar Association Capital Markets Conference, Law Society, London, Thursday 27 February 2014. This is the text of the speech as drafted, which may differ from the delivered version

  4. Required permissions for asset management firms

    Published: 30/10/2018 Last modified: 05/07/2023
    If you're applying to be authorised as a manager of investments, AIFs or UK UCITS, or to distribute funds, find out which permissions to apply for.

  5. Examples of formatting for Sabre II extracts and Zen extracts [xls]

    Systems information Published: 29/09/2011 Last modified: 03/08/2016

  6. BNY Mellon Wealth Management (clone of FCA authorised firm)

    Warnings Published: 07/05/2014 Last modified: 21/06/2021
    Fraudsters copy the details of firms we authorise to try and convince people that their firm is genuine. Find out why you shouldn’t deal with this clone firm.

  7. Transcript: The new prudential regime for investment firms [pdf]

    Transcripts Investment management Published: 01/12/2020 Last modified: 01/12/2020
    Transcript: The new prudential regime for investment firms

  8. Electronic money and payment service providers: conduct of business requirements

    Tasks for firms Published: 29/07/2015 Last modified: 30/08/2023
    Read more about how conduct of business requirements affect payment service providers (PSPs) and electronic money issuers.

  9. Notice to all FCA regulated firms with exposure to cryptoassets

    Statements Published: 24/03/2022 Last modified: 24/03/2022
    We are reminding all regulated firms of their existing obligations when they are interacting with or exposed to cryptoassets and related services.

  10. CP24/11: Quarterly Consultation Paper No. 44

    Consultation papers Published: 08/07/2024 Last modified: 08/07/2024
    Once a quarter, we consult on proposed miscellaneous amendments to our Handbook.
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