Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 541 to 550 of 684 search results for mifid ii.

  1. The challenges for insurance and regulators in a Big Data world

    Speeches Published: 22/11/2016 Last modified: 22/11/2016
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at the Association Of British Insurers (ABI) annual conference.

  2. External audit requirements for investment management firms, securities and futures firms and personal investment firms (not small)

    Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
    Read more about the external audit requirements for investment management firms, securities and futures firms, or personal investment firms (not small).

  3. MS14/2.3: Cash savings market study report: Part I: Final findings Part II: Proposed remedies [pdf]

    Market studies Published: 20/01/2015 Last modified: 20/01/2015
    This report sets out the final findings of our cash savings market study and our proposed remedies to address the aspects of the market that are not working effectively for many consumers.

  4. IFPR implementation observations: quantifying threshold requirements and managing financial resources

    Multi-firm reviews Published: 27/02/2023 Last modified: 09/03/2023
    Firms should consider these and how they can strengthen their processes.

  5. Maintaining market confidence: an update on Brexit

    Speeches Published: 05/11/2018 Last modified: 05/11/2018
    Speech delivered by Nausicaa Delfas, Executive Director of International at the City and Financial: 3rd UK Financial Services Brexit Summit

  6. PS21/9: Implementation of Investment Firms Prudential Regime

    Policy and guidance Policy statements Published: 26/07/2021 Last modified: 26/07/2021
    This is the second of the Policy Statements we will issue to introduce the Investment Firm Prudential Regime.

  7. First supervisory notice 2020: F1 Markets Ltd [pdf]

    Supervisory notices Published: 01/06/2020
    This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing

  8. Statement of Policy: listed companies and recapitalisation issuances during the coronavirus crisis

    Statements Published: 08/04/2020 Last modified: 28/06/2022
    The FCA today announces a series of measures aimed at assisting companies to raise new share capital in response to the coronavirus crisis while retaining an appropriate degree of investor protection.

  9. CP14/18: Quarterly consultation No.6

    Consultation papers Published: 05/09/2014 Last modified: 05/09/2014
    amend CASS 6 to apply to: (i) small AIFMs when carrying out certain activities that are not already caught by CASS 6; and (ii) all assets held by depositaries of authorised

  10. Mortgage lending & administration data items: FAQs

    Tasks for regulated firms Published: 06/05/2016 Last modified: 13/06/2022
    Mortgage lending & administration data items: FAQs
Related searches
Related topics