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Showing 221 to 230 of 286 search results for regime under MiFID II.

221. PS15/29: Strengthening accountability in banking: Final amendments to the Decision Procedure and Penalties Manual and the Enforcement Guide

     Policy statements Published: 09/12/2015 Last modified: 26/05/2016
     The Approved Persons Regime for Solvency II firms and Non-Directive firms will apply from 7 March 2016. ... PS15/21, which sets out the FCA’s final rules in relation to the Approved Persons Regime for Solvency II firms.

222. Maintaining market confidence: an update on Brexit

     Speeches Published: 05/11/2018 Last modified: 05/11/2018
     Speech delivered by Nausicaa Delfas, Executive Director of International at the City and Financial: 3rd UK Financial Services Brexit Summit

223. DP15/3: Developing our approach to implementing MiFID II conduct of business and organisational requirements

     Discussion papers Published: 26/03/2015 Last modified: 03/11/2016
     DP15/3: Developing our approach to implementing MiFID II conduct of business and organisational requirements. ... For more information see a timeline of MiFID II implementation and read our pages on MiFID II.

224. Update of position limits for certain commodity derivative contracts

     News stories Published: 05/05/2020 Last modified: 05/05/2020
     The FCA has published updated position limits for certain commodity derivative contracts traded on UK trading venues. The limits have been established under the Markets in Financial Instruments Regulations 2017 (MIFI Regs).

225. Information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime - November 2020

     FOI Release Date of Release: 18/11/2020
     FCA provides information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime.

226. Automated advice: existing rules and guidance

     Firms Published: 27/03/2022 Last modified: 10/02/2023
     Before applying for Innovation Pathways, read our existing rules and guidance to check whether your question is covered.

227. Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms

     Statements Published: 03/04/2020 Last modified: 22/09/2022
     Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms

228. The view from the regulator on Operational Resilience

     Speeches Published: 05/12/2019 Last modified: 05/12/2019
     Speech by Megan Butler, FCA Executive Director of Supervision: Investment, Wholesale and Specialist, delivered on 5 December 2019 at 13.30

229. CP15/31: Strengthening accountability in banking and insurance: regulatory references

     Consultation papers Published: 06/10/2015 Last modified: 08/12/2015
     Senior management functions under the Senior Managers Regime (SMR). Significant harm functions under the Certification Regime (CR). ... PRA senior insurance management functions under the Senior Insurance Managers Regime (SIMR).

230. Efficiency and effectiveness: our approach to primary markets

     Speeches Published: 01/03/2017 Last modified: 01/03/2017
     Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at Bloomberg.