Search results

Showing 121 to 130 of 286 search results for regime under MiFID II.

121. Multilateral trading facilities and organised trading facilities

     Firm authorisation Published: 05/07/2023 Last modified: 18/10/2023
     Find out what permissions you'll need to apply to the FCA for authorisation, how much you'll need to pay and what the FCA expects to see in your application.

122. Transaction reporting

     Markets Transaction reporting Published: 29/05/2016 Last modified: 12/01/2024
     We use transaction reports to detect and investigate suspected market abuse. Find out more about the submission of transaction reports and the data they should contain.

123. Operational Resilience

     Tasks for firms Published: 17/05/2017 Last modified: 04/03/2024
     We set out the requirements of our policy and how to report an operational disruption.

124. Transparency in asset management

     News stories Published: 30/10/2013 Last modified: 15/08/2014
     Instruments Directive (MiFID) II negotiations. ... We have also published Martin’s full keynote speech which gives the history of the regime, the shortcomings and our next steps, including us consulting to clarify our rules on research

125. Exemptions from short-selling requirements

     Markets Short selling Published: 12/05/2016 Last modified: 31/08/2023
     The EU Short Selling Regulation (SSR) introduced a private and public notification regime for investors. Learn more about exemptions, requirements, ESMA and SSR.

126. PRIIPs Regulation

     Tasks for regulated firms Published: 03/12/2015 Last modified: 13/02/2023
     Regulations for packaged retail investment products (PRIIPs) began in January 2018. Learn more about the definitions of PRIIPs products and who this regulation affects.

127. MiFID II and the fight against financial crime

     Speeches Published: 11/07/2018 Last modified: 20/07/2018
     FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.

128. Statement on supervision of commodity position limits

     Statements Published: 09/07/2021 Last modified: 09/07/2021
     In December 2020, we published a Supervisory Statement setting out our approach to the operation of the MiFID markets regime after the end of the EU withdrawal transition period. 

129. Transaction reporting forum

     Markets Transaction reporting Published: 30/05/2016 Last modified: 11/01/2023
     The FCA explain how transaction reporting forums are used.

130. Proxy advisors

     Markets Published: 18/12/2019 Last modified: 17/04/2024
     Proxy advisors offer research, advice or recommendation services. Read more about the Proxy Advisors Regulations, joining our public list and reporting breaches.