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Showing 131 to 140 of 199 search results for reporting rules under MiFID II.

  1. Regulating high frequency trading

    Speeches Published: 04/06/2014 Last modified: 04/06/2014
    Speech by Martin Wheatley, CEO, the FCA, at the Global Exchange and Brokerage Conference, New York. This is the text of the speech as drafted, which may differ from the delivered version.

  2. 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.

  3. Brexit: information for retail investments firms in the UK

    Firms Published: 26/02/2019 Last modified: 21/06/2022
    If you have customers based in the EEA, find out what actions we expect you to have taken now the transition period is over.

  4. CP21/7 A new UK prudential regime for MiFID investment firms

    Consultation papers Published: 19/04/2021 Last modified: 01/06/2021
    We are consulting on our second phase of proposed rules to introduce the UK Investment Firm Prudential Regime (IFPR). IFPR is a new prudential regime for UK firms authorised under the Markets in Financial Instruments Directive (MiFID).

  5. MLA D: Lending - business flow and rates FAQs

    Registers and systems Published: 13/05/2016 Last modified: 13/06/2022
    MLA D: Lending - business flow and rates FAQs

  6. IFPR reporting, applications and notifications

    Firms Focus areas Published: 06/05/2022 Last modified: 13/02/2023
    The FCA provides information on how to submit MIFIDPRU applications and notifications, and information about MIF returns.

  7. DRSP authorisation and supervision forms

    Firms Markets Markets policy Published: 13/01/2017 Last modified: 15/12/2022
    We have a number of MAR 9 forms to help your application process. 'Find out about the different data reporting services providers (DRSP) authorisation and supervision documents you may need.

  8. MLA E: Residential loans to individuals FAQs

    Registers and systems Published: 13/05/2016 Last modified: 13/06/2022
    MLA E: Residential loans to individuals FAQs

  9. Updates to the FCA’s directions under the Temporary Transitional Power

    Press Releases Published: 26/09/2019 Last modified: 26/09/2019
    Today, the Financial Conduct Authority (FCA) has updated and published draft directions under its Temporary Transitional Power (TTP). The TTP gives the FCA flexibility in applying post-Brexit requirements, allowing firms to transition to a new UK

  10. PS21/20: Changes to UK MiFID’s conduct and organisational requirements

    Policy statements Published: 30/11/2021 Last modified: 30/11/2021
    We set out our final policy position and rules on changes to the research rules and removal of best execution reporting in RTS 27 and RTS 28 following feedback to CP21/9.