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

Search results

Showing 101 to 110 of 286 search results for regime under MiFID II.

  1. CP21/26: A new UK prudential regime for MiFID investment firms [pdf]

    Consultation papers Published: 06/08/2021
    We are seeking views on the third tranche of our proposed rules to introduce the Investment Firms Prudential Regime a new prudential regime for UK firms authorised under the Markets in Financial Instruments Directive.

  2. MiFID II: The future of European trading in the balance

    Speeches Published: 19/09/2014 Last modified: 01/11/2016
    Speech by David Lawton, Director of Markets, at the FCA MiFID II Conference 2014. This is the text of the speech as drafted, which may differ from the delivered version.

  3. Dealing commission

    Speeches Published: 10/07/2014 Last modified: 10/07/2014
    Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA conference on dealing commission in London. This is the text of the speech as drafted, which may differ from the delivered version.

  4. FCA statement on MiFID II inducements and research

    Statements Published: 26/10/2017 Last modified: 26/10/2017
    The FCA welcomes the announcements made today by the European Commission and the US Securities and Exchange Commission (US SEC) in relation to the MiFID II inducements and research reforms and their interaction with US regulation.

  5. CP21/28: New cancellation and variation power: Changes to the Handbook and Enforcement Guide [pdf]

    Consultation papers Published: 09/09/2021
    We are seeking views on the third tranche of our proposed rules to introduce the Investment Firms Prudential Regime (IFPR), a new prudential regime for UK firms authorised under the Markets in Financial Instruments Directive (MiFID).

  6. AIFMD updates

    Focus areas Published: 08/06/2016 Last modified: 05/07/2023
    There are several updates the FCA has published on Alternative Investment Fund Managers Regulations. Find out about the FCA's updated guides and forms.

  7. Regulated covered bonds

    Firms Regulated markets Published: 13/05/2016 Last modified: 08/02/2023
    Covered bonds are a type of secured bond usually backed by mortgages or public sector loans. Read about the UK regulated covered bonds regime.

  8. Update on the Double Volume Cap

    Statements Published: 04/03/2021 Last modified: 04/03/2021
    The FCA has published a revised version of its Statement of Policy about the use of a temporary power it has under UK Markets in Financial Instruments Regulation (MiFIR).

  9. MiFID II wholesale firms conference 2015

    News stories Published: 30/10/2015 Last modified: 11/11/2015
    MiFID II wholesale firms conference 2015. News stories First published:. 30/10/2015. ... See our updates on:. Sign up to receive regular emails about MiFID II.

  10. Pre-trade transparency waivers [pdf]

    Correspondence Published: 19/12/2016
    On 19 December 2016 ESMA published Q&A on the process of how it delivers opinions to national competent authorities on pre-trade transparency waivers. In light of this we have written to UK operators of trading venues. This letter is relevant to
Related searches