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Showing 141 to 150 of 286 search results for regime under MiFID II.
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Complaints data items: FAQs
Complaints data items: FAQs -
The FCA’s role in preparing for Brexit
Further to the announcement from the Treasury on its approach to amending financial services legislation under the European Union (Withdrawal) Act, this statement provides stakeholders with an update on how we are preparing for the UK leaving the -
Where next for UK Market Structure
Speech by Edwin Schooling Latter, FCA Director of Markets and Wholesale Policy and Wholesale Supervision, delivered at Rosenblatt's European Market Structure conference. -
CP16/43: Markets in Financial Instruments Directive II implementation – Consultation Paper IV
We are consulting on our fourth set of implementation proposals for MiFID II and seeking views on our proposed changes to the FCA Handbook. -
Apply to be an authorised AIFM
Learn how to apply to us to become a full-scope AIFM or a small authorised AIFM, including what permissions you'll need and how much you'll need to pay. -
Wholesale markets firm applicants
If you're a wholesale investment firm, you have to be authorised by us. Learn how to prepare your application and what you need to read first. -
FCA response to ESMA's public statement on LEIs
On 20 December, ESMA issued a public statement to support the smooth introduction of the Legal Entity Identifier (LEI) requirements for MiFID II implementation. -
Abnormal Trading Volume Ratio
In the FCA's 2018/19 Annual Report it published a new measure of market cleanliness – the Abnormal Trading Volume ratio (ATV). -
Transaction reporting fines
Find out how the FCA are able to effectively monitor for market abuse. -
Endorsement of credit ratings for regulatory use from the EU into the UK
UK-registered credit rating agencies (CRAs) will be able to endorse credit ratings into the UK from affiliated EU CRAs for regulatory use.