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Slides from the Transaction Reporting Forum December 2016 [pdf]
Event held on 5 and 8 December 2016 -
Slides from the Transaction Reporting Forum June and July 2018 [pdf]
Events held on 26 June and 4 July 2018 -
Skilled Persons appointments 2017-2021 information – October 2021
FCA provides Skilled Persons appointments 2017-2021 information. -
MLA D: Lending - business flow and rates FAQs
MLA D: Lending - business flow and rates FAQs -
Statements of Policy on the operation of the MiFID Transparency Regime - Double Volume Cap [pdf]
This policy was updated to reflect the Double Volume Cap in March 2021. -
Application under MIFID 4-11-9r additional firm questions [docx]
Application under MiFID 4.11.9R for permission to exclude positions taken to hedge against the adverse effect of the exchange rate on the own funds or an item deducted from capital from net open currency positions for the purpose of article 352 of -
Ageing population and financial services
In September 2017, we published our Occasional Paper, outlining the findings from a project that explored how the ageing population would impact the financial services industry. -
Our Perimeter Report
Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products -
Application under MIFID 4-14-6r additional firm questions [docx]
Application under MIFIDPRU 4.14.6R for permission to exclude transactions with some counterparties from K-TCD requirement -Additional firm questions. -
UCITS V: requirements for managers and depositaries
Read more on how increased powers for EU regulators ensures protection and confidence for investors in Undertakings for collective investment in transferable securities (UCITS).