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Showing 101 to 110 of 199 search results for reporting rules under MiFID II.
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CP15/28: Quarterly Consultation Paper No. 10
Since publishing our consultation, the MiFID II Delegated Regulation has been published and it now makes specific reference to the identification of the subject of a firm’s suitability assessment where ... As such, we concluded that it would not be -
2016 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2016. -
UK EMIR notifications and exemptions
Notifications and applications under UK European Market Infrastructure Regulation (UK EMIR) fall into certain categories. Learn more about these notifications, applications and relevant technical standards. -
Abnormal Trading Volume Ratio
In the FCA's 2018/19 Annual Report it published a new measure of market cleanliness – the Abnormal Trading Volume ratio (ATV). -
Requesting sample transaction reporting data
The FCA provide samples of the data back to firms after the submitted transaction reports have been validated by instrument reference data. -
Contract for differences
Find out about the FCA's expectations of providers and brokers offering retail consumers contract for differences (CFD) products, which include spread betting and rolling spot foreign exchange (FX). -
FCA publishes near final rules on MiFID II and encourages firms to submit applications for MiFID II authorisation
The Financial Conduct Authority (FCA) has today published near final rules on the implementation of the Markets in Financial Instruments Directive (MiFID) II. These include changes to the trading of financial instruments including issues affecting -
MiFID II costs and charges disclosures review findings
As part of our supervision work, we looked at the costs and charges disclosures of a sample of 50 firms authorised as MiFID investment firms in the retail investments sector. We wanted to understand if firms were complying with the new rules and -
Statement on the Operation of the MiFID Markets Regime
Read our statement on the operation of the MiFID Markets Regime after the transition period ends. -
The FCA’s role in preparing for Brexit
Further to the announcement from the Treasury on its approach to amending financial services legislation under the European Union (Withdrawal) Act, this statement provides stakeholders with an update on how we are preparing for the UK leaving the