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Showing 611 to 620 of 684 search results for mifid ii.

611. FG15/3 - Version 3.1 of the Transaction Reporting User Pack (TRUP)

     Finalised guidance Published: 06/02/2015 Last modified: 06/02/2015
     The Transaction Reporting User Pack (TRUP) provides guidance to firms on understanding the transaction reporting obligations that come from Directive 2004/39/EC on the Markets in Financial Instruments Directive (MiFID),

612. FCA publishes instructions for accessing and downloading FCA FITRS files

     News stories Published: 05/04/2019 Last modified: 05/04/2019
     We have built FCA FITRS (Financial Instruments Transparency System) to replace ESMA FITRS in the UK.

613. Business interruption insurance test case: draft guidance for firms

     Policy and guidance Guidance consultations Published: 01/06/2020 Last modified: 01/06/2020
     FCA publishes draft guidance for firms on the business interruption insurance test case

614. FCA responds to independent reviews into its regulation of London Capital & Finance and Connaught

     Press Releases Published: 17/12/2020 Last modified: 17/12/2020
     The FCA has responded to the independent investigations of its supervision of London Capital & Finance plc (LCF) and Connaught Income Fund Series 1 and connected companies (Connaught)

615. FCA launches discussion on improving the financial services compensation framework

     Press Releases Published: 06/12/2021 Last modified: 06/12/2021
     FCA seeks views on fundamental questions about the purpose, scope and funding of it's compensation framework

616. FS14/1: Feedback Statement on FSA CP12/13 Solvency II – COBS rule changes

     Feedback statements Published: 14/10/2014 Last modified: 16/01/2015
     FS14/1: Feedback Statement on FSA CP12/13 Solvency II – COBS rule changes. ... FS14/1 Feedback Statement on FSA CP12/13 Solvency II – COBS rule changes.

617. Consumer Investments Strategy – 1 year update

     Corporate documents Published: 18/10/2022 Last modified: 15/06/2023
     The FCA provides an update on its progress against the workstreams and outcomes it committed to in its Consumer Investments Strategy in September 2021.

618. Capital Markets Union – a regulator’s perspective

     Speeches Published: 04/06/2015 Last modified: 04/06/2015
     Speech by David Lawton, Director of Markets, Policy and International, at the FCA, delivered at the Deutsche Borse Group ‘Blueprint for a European Capital Markets Union’ event on 27 May 2015 at the ETC venues, London. This is the text of the

619. Strengthening accountability in banking and insurance: regulatory references final rules: PS16/22

     Policy statements Published: 28/09/2016 Last modified: 24/02/2017
     We are publishing our final rules on regulatory references. 

620. External audit requirements for small personal investment firms or service companies

     Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
     Learn more about the external audit requirements for small personal investment firms or service companies and what you need to do.