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Showing 191 to 200 of 286 search results for regime under MiFID II.

  1. Primary Market Bulletin 40

    Newsletters Published: 27/05/2022 Last modified: 30/05/2022
    In this edition we provide feedback on our consultation in PMB 34 and highlight changes to the Knowledge Base on the prospectus regime as a result of the consultation.

  2. Primary Market Bulletin 49

    Newsletters Published: 20/05/2024 Last modified: 31/05/2024
    This issue looks at Annual financial reporting, Long Term Incentive Plans (LTIPs) Global Depositary Receipts (GDRs) report  

  3. FCA publishes Insurance Distribution Directive consultation

    Press Releases Published: 06/03/2017 Last modified: 06/03/2017
    The Financial Conduct Authority (FCA) has today published the first of its two consultation papers on the implementation of the Insurance Distribution Directive (IDD).

  4. Overall responsibility and the legal function: DP16/4

    Discussion papers Published: 28/09/2016 Last modified: 23/01/2019
    In September 2016, we launched Discussion Paper DP16/4 to clarify how and why the legal function is currently captured under the Senior Managers and Certification Regime (SM&CR) and to consider whether it should continue to be part of the regime.

  5. Primary Market Bulletin 34

    Newsletters Published: 24/06/2021 Last modified: 09/07/2021
    This edition consults on changes we propose to make to our Knowledge Base in relation to the prospectus regime.

  6. Update of position limits for certain commodity derivative contracts

    Statements Published: 07/12/2020 Last modified: 07/12/2020
    The Financial Conduct Authority (FCA) has today published updated position limits for certain commodity derivative contracts traded on ICE Futures Europe. The limits have been established under the Markets in Financial Instruments Regulations 2017

  7. IFPR implementation observations: quantifying threshold requirements and managing financial resources

    Multi-firm reviews Published: 27/02/2023 Last modified: 09/03/2023
    Firms should consider these and how they can strengthen their processes.

  8. Third consultation on new prudential regime for UK investment firms

    News stories Published: 06/08/2021 Last modified: 06/08/2021
    We are asking UK investment firms to provide feedback on the UK Investment Firm Prudential Regime.

  9. Fair and effective markets review

    Speeches Published: 14/07/2015 Last modified: 23/10/2015
    Regulatory reforms in Europe like MiFID 2 and the new Market Abuse Regulation, and in the US like the Dodd-Frank Act. ... First, the Senior Managers and Certification Regime. The parliamentary commission I referred to earlier recommended the creation of

  10. Notice to all FCA regulated firms with exposure to cryptoassets

    Statements Published: 24/03/2022 Last modified: 24/03/2022
    We are reminding all regulated firms of their existing obligations when they are interacting with or exposed to cryptoassets and related services.
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