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Showing 591 to 600 of 684 search results for mifid ii.

591. SM&CR categorisation for solo-regulated firms

     Tasks for regulated firms Published: 31/07/2019 Last modified: 06/02/2023
     Under SM&CR, solo-regulated firms are categorised as limited scope, core or enhanced. Find out which category your firm is in and how you can review this.

592. Occasional Paper No. 37: Flash Crash in an OTC Market

     Occasional papers Published: 12/06/2018 Last modified: 12/06/2018
     This Occasional Paper contributes to the research on flash crashes which are high-profile episodes that can be thought of as short-lived malfunctions of capital markets typically involving a substantial price change and a drying up of liquidity

593. Data on investigations into greenwashing & ESG misselling - July 2022

     FOI Release Date of Release: 11/07/2022
     The FCA provides information on investigations into greenwashing, ESG misselling and other regulatory breaches involving ESG.

594. First supervisory notice 2020: Magnum FX Cyprus 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

595. PS16/1: Reform of the legacy Credit Unions sourcebook

     Policy statements Published: 01/02/2016 Last modified: 01/02/2016
     PS16/1: Reform of the legacy Credit Unions sourcebook. Policy statements First published:. 01/02/2016. Last updated: 01/02/2016. Share page. PS16/1: Reform of the legacy Credit Unions sourcebook. In this policy statement we provide feedback on

596. Statement on various MiFID obligations and benchmarks regulation if the UK leaves the EU without an implementation period

     Statements Published: 13/03/2019 Last modified: 13/03/2019
     ESMA has published a statement clarifying its approach to aspects of the MiFID position limits regime, post-trade transparency requirements, derivatives trading obligation and benchmarks regulation if the UK leaves the EU without an implementation

597. CP20/23: Quarterly Consultation Paper No. 30

     Consultation papers Published: 04/12/2020 Last modified: 08/12/2020
     Once a quarter, we consult on proposed miscellaneous amendments to our Handbook. These tend to be minor changes but we still want to get your feedback on our proposals.

598. CP15/25: Changes to the Approved Persons Regime for insurers not subject to Solvency II: reforms for larger Non-Directive Firms, feedback on CP 15/15, forms, consequentials and transitional aspects

     Consultation papers Published: 13/08/2015 Last modified: 24/11/2015
     CP15/25: Changes to the Approved Persons Regime for insurers not subject to Solvency II: reforms for larger Non-Directive Firms, feedback on CP 15/15, forms, consequentials and transitional aspects. ... For more information see:. see CP15/15 Changes to

599. Information on Temporary Permission Regime (TPR) - January 2021

     FOI Release Date of Release: 29/01/2021
     The FCA responds multiple questions on the Temporary Permissions Regime.

600. Third consultation on new prudential regime for UK investment firms

     News stories Published: 06/08/2021 Last modified: 06/08/2021
     We are asking UK investment firms to provide feedback on the UK Investment Firm Prudential Regime.