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Showing 251 to 260 of 286 search results for regime under MiFID II.
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Information on fines and active or closed investigations since January 2018 - April 2020
The FCA provides information on any fines levied and the number of active or closed investigations since January 2018 for breaching requirements under Directive 2014/65/EU (MiFID II) and Regulation (EU) No 600/2014 (MiFIR) to report RTS 24 order -
Regulating financial innovation – going behind the scenes
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Cambridge Centre for Alternative Finance annual conference, Judge Business School. -
What are the lessons for insurance supervisors from the recent financial crisis?
Speech by Adair Turner, FSA Executive Chairman at the Swedish Central Bank. -
FCA publishes terms of reference for asset management market study
From 31 December 2016, manufacturers and distributors of packaged retail and insurance-based investment products (PRIIPs) will be required to provide retail investors with a Key Information Document (‘KID’) under the ... MIFID II comes into force in -
CFD firms fail to meet our expectations on appropriateness assessments
Findings from our review of appropriateness assessments for sales of contracts for difference (CFD) products, through a sample of 23 firms. -
Brexit: information for participants in the wholesale markets operating in the UK (including wholesale banks, wholesale markets and asset managers)
Passporting between the UK and EEA states has now ended. Find out more about the other ways in which firms can access the EEA. -
The vital relationship between the regulator and the advisory industry
Speech by John Griffith-Jones, Chairman of the FCA, at The Association of Professional Financial Advisers (APFA) Annual Gala Dinner delivered at Banking Hall, London. This is the text of the speech as drafted, which may differ from the delivered -
Monitoring orders and transactions – our expectations of firms
Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum -
Statement on various MiFID obligations and benchmarks regulation if the UK leaves the EU without an implementation period
ESMA has published a statement clarifying its approach to aspects of the MiFID position limits regime, post-trade transparency requirements, derivatives trading obligation and benchmarks regulation if the UK leaves the EU without an implementation -
Consumer Investments Strategy – 1 year update
The FCA provides an update on its progress against the workstreams and outcomes it committed to in its Consumer Investments Strategy in September 2021.