Search results
Showing 261 to 270 of 286 search results for regime under MiFID II.
-
Review of host Authorised Fund Management firms
We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed. -
CP15/34: Regulatory fees and levies: policy proposals for 2016/17
recover the data reporting costs associated with market monitoring under the Markets in Financial Instruments Directive (MiFID II) and Markets in Financial Instrument Regulation (MiFIR). ... levy a 10% discount on fees paid by European Economic Area (EEA) -
PS15/21: Changes to the Approved Persons Regime for Solvency II firms: Final rules (including feedback on CP14/25, CP15/5 and CP15/16), and consequentials relating to CP15/22 on strengthening accountability in banking
The rules cover two main issues. Firstly reforms to the Approved Persons Regime for firms to whom the PRA have applied the Solvency II regime. ... All firms to whom the PRA have applied the Solvency II regime, including Insurance Special Purpose Vehicles -
FCA statement on the Work Plan for ESMA opinions on pre-trade transparency waivers and commodity position limits
In the event that we decide it is necessary to change these limits in the light of ESMA opinions, or as otherwise required under MIFID II, we will provide an appropriate ... The FCA’s work plan as detailed can also be found on our MiFID II webpage. -
Consumer Investments Strategy - 2 Year Update
The FCA provides a 2 year update on its progress against the workstreams and outcomes it committed to in its Consumer Investments Strategy in September 2021. -
Call for Input: PRIIPs Regulation – initial experiences with the new requirements
In this Feedback Statement, we summarise responses to our Call for Input on the Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation. We also outline our next steps. -
TR15/12: Wealth management firms and private banks: suitability of investment portfolios
The industry manages over 1.8 million portfolios for customers in the UK and has over £600 billion of their assets under management. ... MiFID II will be coming into force in the UK and some of its provisions will apply to firms providing portfolio -
Implementing Technology Change
This review sets out the findings from our cross-Financial Services change management review which looked at how financial firms manage technology change, the impact of change failures and the practices utilised within the industry to help reduce -
FCA calls on firms to act following review of costs and charges disclosure in the investment sector
The Financial Conduct Authority (FCA) has today published the key findings of supervisory work to assess the effectiveness of disclosure by asset managers and intermediaries, such as wealth managers, to their retail customers. This work was prompted -
IFPR implementation observations: quantifying threshold requirements and managing financial resources – concluding report
Further observations on how firms are implementing requirements on the Internal Capital Adequacy and Risk Assessment process and reporting under the Investment Firms Prudential Regime.