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Showing 521 to 530 of 684 search results for mifid ii.

521. Surveillance: The FCA's expectations and toolkits

     Speeches Published: 07/10/2014 Last modified: 07/10/2014
     Speech by Patrick Spens, Head of Market Monitoring, at the British Bankers' Association Market Abuse Conference. This is the text of the speech as drafted, which may differ from the delivered version.

522. Application under MIFID 4-12-66r additional firm questions [docx]

     Forms Published: 11/02/2022
     Application under MIFIDPRU 4.12.66R for permission to use sensitivity models to calculate interest rate risk on derivative instruments in accordance with article 331(1) of the UK CRR – Additional firm questions

523. Information on the proposed BSPS redress scheme (CP22/6) - May 2022

     FOI Release Date of Release: 30/05/2022
     The FCA answers multiple questions regarding information relevant to the FCA's thematic and supervisory work in relation to DB pension transfers, specific to, but not limited to, the proposed BSPS redress scheme (CP22/6).

524. Brexit – Temporary authorisation regime for data reporting services providers (DRSPs)

     Firms Markets Markets policy Published: 10/10/2018 Last modified: 14/12/2022
     The temporary authorisations regime for MiFID-authorised EEA DRSPs to provide a data reporting service in the UK ended on 31 December 2021.

525. Alliance Trust Savings Limited (Clone) (clone of FCA authorised firm)

     Warnings Published: 02/07/2018 Last modified: 21/11/2020
     We have published this statement in order to warn consumers against dealing with unauthorised firms.

526. Seizing opportunity – challenges and priorities for the FCA

     Speeches Published: 22/09/2021 Last modified: 24/09/2021
     Speech by our CEO, Nikhil Rathi, delivered at the Lord Mayor's City Banquet at Mansion House

527. Interactive Investor (Clone of FCA authorised firm)

     Warnings Published: 19/04/2021 Last modified: 19/04/2021
     Interactive Investor (Clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm and how

528. Notice of intention to provide arrangements to facilitate the access to an MTF or an OTF from another EEA State under the Markets in Financial Instruments Directive (MiFID) [pdf]

     Forms Published: 01/09/2017 Last modified: 01/09/2017

529. So long LIBOR – 3 weeks to go

     Speeches Published: 10/12/2021 Last modified: 10/12/2021
     Speech by Edwin Schooling Latter, FCA Director of Markets and Wholesale Policy and Wholesale Supervision, delivered at delivered at Risk.net’s LIBOR telethon.

530. CASS compliance – the bigger picture

     Speeches Published: 02/12/2014 Last modified: 19/12/2014
     Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version.