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Showing 211 to 220 of 286 search results for regime under MiFID II.

211. Primary Market Bulletin 44

     Newsletters Published: 20/03/2023 Last modified: 20/03/2023
     This edition covers diversity and inclusion, when a prospectus is required in Schemes of Arrangement and regulatory news with multimedia content.

212. Remuneration and performance management of sales staff (SYSC 19F)

     Tasks for regulated firms Published: 23/05/2018 Last modified: 10/02/2023
     FCA provides rules on staff incentives and the remuneration of sales staff and advisers.

213. UCITS V: requirements for managers and depositaries

     Tasks for regulated firms Published: 05/08/2015 Last modified: 16/02/2023
     Read more on how increased powers for EU regulators ensures protection and confidence for investors in Undertakings for collective investment in transferable securities (UCITS).

214. IFPR reporting, applications and notifications

     Firms Focus areas Published: 06/05/2022 Last modified: 13/02/2023
     The FCA provides information on how to submit MIFIDPRU applications and notifications, and information about MIF returns.

215. SM&CR categorisation for solo-regulated firms

     Tasks for regulated firms Published: 31/07/2019 Last modified: 06/02/2023
     Under SM&CR, solo-regulated firms are categorised as limited scope, core or enhanced. Find out which category your firm is in and how you can review this.

216. FCA sets out approach to Non-Executive Directors and the Senior Managers Regime

     Press Releases Published: 23/02/2015 Last modified: 23/02/2015
     FCA sets out approach to Non-Executive Directors and the Senior Managers Regime. ... Non-Executive Directors (NEDs) with specific responsibilities, such as Chairman, will come under the new Senior Managers Regime (SMR), the Financial Conduct Authority

217. FCA publishes final report on IFPR implementation observations

     News stories Published: 27/11/2023 Last modified: 27/11/2023
     Final report on our multi-firm review into firms’ progress in implementing the ICARA process and reporting requirements under the IFPR.

218. CASS compliance – the bigger picture

     Speeches Published: 02/12/2014 Last modified: 19/12/2014
     Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version.

219. CP15/42: Quarterly Consultation Paper No. 11

     Consultation papers Published: 04/12/2015 Last modified: 17/12/2015
     make consequential changes to various RDR forms as a result of the Senior Managers’ Regime. ... make consequential changes to the Handbook for Solvency II and non-Directive firms.

220. Statement of Policy: listed companies and recapitalisation issuances during the coronavirus crisis

     Statements Published: 08/04/2020 Last modified: 28/06/2022
     The FCA today announces a series of measures aimed at assisting companies to raise new share capital in response to the coronavirus crisis while retaining an appropriate degree of investor protection.