Search results
Showing 181 to 190 of 286 search results for regime under MiFID II.
-
CP21/7 A new UK prudential regime for MiFID investment firms
We are consulting on our second phase of proposed rules to introduce the UK Investment Firm Prudential Regime (IFPR). IFPR is a new prudential regime for UK firms authorised under the Markets in Financial Instruments Directive (MiFID). -
Asset management: A regulatory perspective
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at London Business School Annual Asset Management Conference. -
FCA publishes second consultation paper on the Markets in Financial Instruments Directive II implementation
The Financial Conduct Authority (FCA) has today published its second consultation paper (CP16/19) on the implementation of the Markets in Financial Instruments Directive II (MiFID II) in the UK. ... Andrew Bailey, Chief Executive of the FCA, commented:. -
DRSP regulatory framework
We provide guides that set out the regulatory framework for UK Data Reporting Service Providers (DRSPs). Find out more about how to use these sources. -
Required permissions for asset management firms
If you're applying to be authorised as a manager of investments, AIFs or UK UCITS, or to distribute funds, find out which permissions to apply for. -
Second consultation on new prudential regime for UK investment firms
The IFPR introduces a new prudential regime for MiFID investment firms regulated by the FCA. It will create a single, proportionate regime that reflects firms’ size and business. -
FCA publishes Annual Report and Accounts 2017/18
The Financial Conduct Authority (FCA) has today published its Annual Report and Accounts, which looks back on the key pieces of work undertaken by the organisation throughout 2017/18. -
MiFID II costs and charges disclosures review findings
As part of our supervision work, we looked at the costs and charges disclosures of a sample of 50 firms authorised as MiFID investment firms in the retail investments sector. We wanted to understand if firms were complying with the new rules and -
Statement on supervision of commodity derivatives position limits
In December 2020, we published a Supervisory Statement setting out our approach to operating the MiFID markets regime after the end of the EU withdrawal transition period. -
DP20/2: Prudential requirements for MiFID investment firms
This Discussion Paper sets out initial views as well as technical details on the Investment Firm Directive (IFD) and the Investment Firm Regulation (IFR). The Government will be introducing a framework for the new regime for UK firms. We are seeking