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Showing 651 to 660 of 684 search results for mifid ii.

  1. CP15/4: Whistleblowing in deposit-takers, PRA-designated investment firms and insurers

    Consultation papers Published: 23/02/2015 Last modified: 23/02/2015
    undertakings, within the scope of Solvency II, and to the Society of Lloyd’s and managing agents.

  2. GC14/2 Consultation on Version 3.1 of the Transaction Reporting User Pack (TRUP)

    Guidance consultations Published: 08/05/2014 Last modified: 27/05/2014
    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),

  3. CP17/41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime

    Consultation papers Published: 13/12/2017 Last modified: 22/02/2018
    a firm subject to Solvency II or a large Non-Directive Firm.

  4. FCA publishes Annual Report 2015/16 and report of its competition activities since 2013

    Press Releases Published: 12/07/2016 Last modified: 12/07/2016
    The FCA’s Annual Public Meeting will be held on 19th July 2016 at the Queen Elizabeth II conference centre where members of the public can ask questions about the reports.

  5. PS19/13: Improving shareholder engagement and increasing transparency around stewardship

    Policy statements Published: 30/01/2019 Last modified: 31/05/2019
    We have introduced new requirements to improve shareholder engagement and increase transparency around stewardship. The requirements come into effect on 10 June 2019.  Asset managers and life insurers will need to disclose and make publicly

  6. CP16/9: FCA regulated fees and levies: rates proposals 2016/17

    Consultation papers Published: 04/04/2016 Last modified: 10/08/2021
    We are consulting on our proposed 2016/17 regulatory fees and levies

  7. Advance applications for credit rating agencies and trade repositories now open

    News stories Published: 07/01/2019 Last modified: 08/01/2019
    As we get closer to the UK’s exit from the EU, we have opened applications for credit ratings agencies and trade repositories looking to offer services in the UK after 29 March 2019.

  8. RMA-E: Professional Indemnity Insurance

    Registers and systems Published: 12/05/2016 Last modified: 13/05/2021
    RMA-E: Professional Indemnity Insurance

  9. CP18/28: Brexit: proposed changes to the Handbook and Binding Technical Standards – first consultation

    Consultation papers Published: 10/10/2018 Last modified: 28/02/2019
    In this paper, we publish our proposals on how we will amend our Handbook and EU derived binding technical standards (BTS) if the UK leaves the EU without an implementation period in place. We also set out our proposed approach to EU

  10. PS15/24: Whistleblowing in deposit-takers, PRA-designated investment firms and insurers

    Policy statements Published: 06/10/2015 Last modified: 26/05/2016
    PRA-designated investment firms, and. insurance and reinsurance firms within the scope of Solvency II, the Society of Lloyd’s and managing agents.
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