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Showing 631 to 640 of 684 search results for mifid ii.

631. FCA consults on how to extend the Senior Managers Regime to benchmark administrators

     Press Releases Published: 29/11/2019 Last modified: 11/04/2024
     FCA consults on how to extend the Senior Managers Regime (SMR) to benchmark administrators

632. Industry to begin testing the Financial Instruments Transparency System (FITRS)

     News stories Published: 28/09/2020 Last modified: 28/09/2020
     We're asking for feedback on FCA FITRS (Financial Instruments Transparency System), which will be available for testing from 5 October 2020.

633. Information on FCA's exercise of concurrent competition enforcement powers - July 2021

     FOI Release Date of Release: 02/07/2021
     The FCA provides information relating to the exercise of concurrent competition enforcement powers under the Competition Act 1998 between 1 April 2015 and 15 Jun 2021.

634. 10% depreciation notifications: further extension of temporary measures for firms

     Statements Published: 21/12/2021 Last modified: 21/01/2022
     Since March 2020 we have adopted temporary measures on the requirement for firms to issue 10% depreciation notifications to investors (COBS 16A.4.3 UK).

635. RMA-D1 Regulatory capital

     Registers and systems Published: 12/05/2016 Last modified: 13/06/2022
     RMA-D1 Regulatory capital

636. PS21/4: Extension of Annual Financial Crime Reporting Obligation

     Policy statements Published: 30/03/2021 Last modified: 29/03/2022
     This PS summarises our proposal to increase the number of firms who need to submit the annual financial crime report, which we refer to as ‘REP-CRIM’.

637. Market Force and the Chartered Institute’s Nicholas Barbon Lectures

     Speeches Published: 06/02/2013 Last modified: 29/03/2013
     Speech by Andrew Bailey, Managing Director, Prudential Business Unit at the Chartered Institute’s Nicholas Barbon Lectures, London

638. FCA appoints new Director of Enforcement and Market Oversight and Director of Risk

     Press Releases Published: 05/06/2015 Last modified: 08/11/2016
     Between 1995 and 2008 Barbara held a number of senior roles at ABN AMRO, based in The Netherlands, including Senior Vice President, Head of Basel II Requirements.

639. Impact assessment: Final Rules on changes to the Approved Persons Regime for insurers not subject to Solvency II (PS15/31) [pdf]

     Impact assessments Published: 23/06/2017
     This impact assessment relates to changes to Approved Persons Regime for insurers not subject to Solvency II. It has been verified by the Regulatory Policy Committee.

640. Number of UK investment firms and categories information - October 2020

     FOI Release Date of Release: 05/10/2020
     FCA provides information on the number of UK investment firms and by category.