Search results
Showing 271 to 280 of 286 search results for regime under MiFID II.
-
Market Force and the Chartered Institute’s Nicholas Barbon Lectures
Speech by Andrew Bailey, Managing Director, Prudential Business Unit at the Chartered Institute’s Nicholas Barbon Lectures, London -
FCA proposes actions to improve competition in the investment platform market
Competition is working well for most consumers using investment platforms, according to interim findings of the Financial Conduct Authority’s market study into investment platforms, published today. -
Advance applications for credit rating agencies and trade repositories now open
As we get closer to the UK’s exit from the EU, we have opened applications for credit ratings agencies and trade repositories looking to offer services in the UK after 29 March 2019. -
TR16/1: Assessing suitability: Research and due diligence of products and services
proceeds in a new product under the recommendation of an adviser). ... We will be publishing a second consultation paper on the implementation of the Markets in Financial Instruments Directive (MiFID II) later this year. -
Capital Markets Union – a regulator’s perspective
Speech by David Lawton, Director of Markets, Policy and International, at the FCA, delivered at the Deutsche Borse Group ‘Blueprint for a European Capital Markets Union’ event on 27 May 2015 at the ETC venues, London. This is the text of the -
FCA publishes its Business Plan for 2015/16 and announces details of new supervision and authorisation divisions
to implement and review the consumer credit regime and the firms and practices within the sector. ... to contribute to international benchmark reform. to work with firms preparing for the implementation of MiFID II and the Market Abuse Regulation updates. -
FCA further bolsters its leadership team as it expands its headcount
The Financial Conduct Authority (FCA) has appointed six directors as it expands its headcount to meet a growing remit and to achieve its ambitious strategy, which launched in April. The appointments announced today, which fill a mix of new and -
SM&CR information related to general insurance and protection intermediary firms - June 2022
The FCA provides data on the Senior Managers and Certification Regime (SMCR), in respect of: general insurers and general insurance intermediaries. -
CP18/28: Brexit: proposed changes to the Handbook and Binding Technical Standards – first consultation
In this paper, we publish our proposals on how we will amend our Handbook and EU derived binding technical standards (BTS) if the UK leaves the EU without an implementation period in place. We also set out our proposed approach to EU -
PS16/3: Strengthening accountability in banking: Feedback on CP15/22 and CP15/31; final rules on extending the certification regime to wholesale market activities and interim rules on referencing
Firms are required to submit grandfathering notifications for existing approved persons who will be performing senior management functions under the new regime by 8 February 2016. ... Firms' deadline for issuing certificates for individuals under the