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Showing 571 to 580 of 684 search results for mifid ii.

571. Call for Input: SME access to the Financial Ombudsman Service

     Firms Calls for input Published: 17/03/2023 Last modified: 19/06/2023
     We are looking to start a review of the rules extending SME access to FOS.

572. CP15/5: Approach to non-executive directors in banking and Solvency II firms & Application of the presumption of responsibility to Senior Managers in banking firms

     Consultation papers Published: 23/02/2015 Last modified: 14/09/2015
     CP15/5: Approach to non-executive directors in banking and Solvency II firms & Application of the presumption of responsibility to Senior Managers in banking firms. ... CP15/5: Approach to non-executive directors in banking and Solvency II firms &

573. FCA publishes final report on IFPR implementation observations

     News stories Published: 27/11/2023 Last modified: 27/11/2023
     Final report on our multi-firm review into firms’ progress in implementing the ICARA process and reporting requirements under the IFPR.

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

     Consultations Policy statements Published: 14/12/2020 Last modified: 29/06/2021
     We are consulting on our first phase of proposed rules to introduce the UK Investment Firm Prudential Regime (IFPR). IFPR is a new prudential regime for UK firms authorised under the Markets in Financial Instruments Directive (MiFID).

575. FCA fines Merrill Lynch £34.5 million for failing to report transactions

     Press Releases Published: 23/10/2017 Last modified: 23/10/2017
     Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and 6 February 2016.

576. FCA publishes first consultation on new prudential regime for UK investment firms

     News stories Published: 14/12/2020 Last modified: 14/12/2020
     The FCA is seeking views on its proposed rules to introduce the UK Investment Firm Prudential Regime (IFPR) for FCA prudentially-regulated investment firms

577. Insights from the 2020 Cyber Coordination Groups

     Research notes Published: 29/04/2021 Last modified: 29/04/2021
     Overview and insight from the latest quarterly Cyber Coordination Group meeting

578. Five sentenced in FCA prosecution of £2.8m investment fraud

     Press Releases Published: 04/09/2018 Last modified: 04/09/2018
     Operation Tidworth was the FCA’s second largest ever criminal prosecution. The instigator and main beneficiary of the fraud, Michael Nascimento, will be sentenced separately on 14 September 2018.

579. Payment Service Providers that repeatedly fail to provide information

     Tasks for firms Published: 09/02/2018 Last modified: 13/03/2024
     Find out more about what to do if a payment services provider (PSP) repeatedly fails to provide required information.

580. Variation of Permission (VOP) - Investment Business form [doc]

     Forms Published: 19/11/2013 Last modified: 19/11/2013
     This is an application for the requirement below to be added to your firm’s Part 4A permissions, (if your firm does not do the MiFID investment service and activity placing of financial instruments without a firm commitment basis).