Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 641 to 650 of 684 search results for mifid ii.

  1. PS19/11: Product intervention measures for retail binary options

    Policy statements Published: 29/03/2019 Last modified: 29/03/2019
    In this paper, the FCA sets out its final position and Handbook rules to permanently prohibit the sale, marketing and distribution of binary options to retail consumers by firms that carry out activity in, or from, the UK.

  2. Information on enforcement investigations opened against individuals (SMR) - May 2022

    FOI Release Date of Release: 11/05/2022
    The FCA provides data on enforcement investigations opened against individuals (SMR).

  3. Primary Market Bulletin Issue No. 28 coronavirus (Covid-19) update

    Newsletters Published: 27/05/2020 Last modified: 23/03/2022
    In this special edition, we publish a statement on temporary relief for the timing of the publication of half yearly financial reports.

  4. Information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime - November 2020

    FOI Release Date of Release: 18/11/2020
    FCA provides information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime.

  5. FSA CP13/9: Implementation of the Alternative Investment Fund Managers Directive Part 2

    Consultation papers Published: 19/03/2013 Last modified: 30/08/2015
    We are consulting on transposing the Alternative Investment Fund Managers Directive (AIFMD) in the UK.

  6. MIFID investment firms will need to use a new form to notify FCA of management body changes for Non-SMF Directors

    News stories Published: 02/12/2019 Last modified: 02/12/2019
    MIFID investment firms will need to use a new form to notify FCA of management body changes for Non-SMF Directors

  7. Securitisation Regulation: PRA and FCA joint statement on reporting of private securitisations

    Statements Published: 20/12/2018 Last modified: 20/12/2018
    This statement sets out how the Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) propose to direct the manner in which firms must make information regarding ‘private’ securitisations available to their UK competent

  8. PS18/3: Perimeter guidance on personal recommendations on retail investments

    Policy statements Published: 23/02/2018 Last modified: 23/02/2018
    This Policy Statement sets out our response to feedback on new perimeter guidance on what constitutes a personal recommendation, which we published in consultation CP17/28: FAMR Implementation Part II and insistent clients (PDF).

  9. FCA welcomes a significant milestone in the development of standards in FX markets through the publication of the BIS Global FX Code

    Statements Published: 26/05/2016 Last modified: 26/05/2016
    In the UK, many parts of firms' FX activities are already subject to specific and demanding regulatory requirements, such as the client order handling and best execution standards in MIFID, and

  10. Statement about broker-operated systems trading physically settled gas and power forwards

    Statements Published: 27/11/2013 Last modified: 27/11/2013
    the Markets in Financial Instruments Directive (MiFID).These reviews were focusing on the interpretation of the multilateral trading facility (MTF) category under MiFID. ... Published 11/09/2013. Physically settled gas and power forwards that are traded
Related searches
Related topics