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Showing 561 to 570 of 684 search results for mifid ii.

561. FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms

     Press Releases Published: 13/08/2015 Last modified: 19/04/2016
     banks, and also confirms reforms to the approved persons regime for Solvency II firms. ... The FCA has today set out final rules for the approved persons regime for individuals working in Solvency II firms.

562. FCA finds firms fail to deliver best execution

     Press Releases Published: 31/07/2014 Last modified: 31/07/2014
     Financial Instruments Directive, MIFID) including fixed income, commodities and equities.

563. Statement on supervision of commodity derivatives position limits

     Statements Published: 20/12/2021 Last modified: 20/12/2021
     In December 2020, we published a Supervisory Statement setting out our approach to operating the MiFID markets regime after the end of the EU withdrawal transition period.

564. Summary of ESMA’s Market Data Reporting Proposals - February 2015 [pdf]

     Systems information Published: 09/03/2015 Last modified: 03/08/2016

565. Summary of ESMA’s Market Data Reporting Proposals - June 2014 [pdf]

     Systems information Published: 11/08/2014 Last modified: 03/08/2016

566. FCA enforcement investigations 2021 and 2022 - February 2022

     FOI Release Date of Release: 22/02/2022
     The FCA answers multiple questions regarding the FCA's enforcement investigations.

567. First supervisory notice 2020: Hoch Capital 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

568. Overall responsibility and the legal function: DP16/4

     Discussion papers Published: 28/09/2016 Last modified: 23/01/2019
     In September 2016, we launched Discussion Paper DP16/4 to clarify how and why the legal function is currently captured under the Senior Managers and Certification Regime (SM&CR) and to consider whether it should continue to be part of the regime.

569. PS15/31: Final Rules on changes to the Approved Persons Regime for insurers not subject to Solvency II

     Policy statements Published: 16/12/2015 Last modified: 26/05/2016
     PS15/31: Final Rules on changes to the Approved Persons Regime for insurers not subject to Solvency II. ... or of the Prudential Regulatory Authority rules imposing Solvency II requirements), and their approved persons.

570. Recovery plans – initial observations

     News stories Published: 19/05/2016 Last modified: 19/05/2016
     it to take effect, and (ii) doubts about the level of additional capital/liquidity that would be generated.