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Showing 141 to 150 of 199 search results for reporting rules under MiFID II.
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CP15/42: Quarterly Consultation Paper No. 11
We are proposing to:. make certain consequential changes to rules and guidance relating to controllers. ... make consequential changes to the Handbook for Solvency II and non-Directive firms. -
FCA publishes final report on IFPR implementation observations
Final report on our multi-firm review into firms’ progress in implementing the ICARA process and reporting requirements under the IFPR. -
Towards more effective stewardship
Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at the LSE in London. -
Mortgage lending & administration data items: FAQs
Mortgage lending & administration data items: FAQs -
Surveillance: The FCA's expectations and toolkits
Speech by Patrick Spens, Head of Market Monitoring, at the British Bankers' Association Market Abuse Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
Regulatory Developments and the Changing Market Structure
Speech by David Lawton, Director of Markets at the FCA, at the American Bar Association Capital Markets Conference, Law Society, London, Thursday 27 February 2014. This is the text of the speech as drafted, which may differ from the delivered version -
IFPR implementation observations: quantifying threshold requirements and managing financial resources
Firms should consider these and how they can strengthen their processes. -
Second consultation on new prudential regime for UK investment firms
The IFPR introduces a new prudential regime for MiFID investment firms regulated by the FCA. It will create a single, proportionate regime that reflects firms’ size and business. -
Primary Market Bulletin 34
This edition consults on changes we propose to make to our Knowledge Base in relation to the prospectus regime. -
Third consultation on new prudential regime for UK investment firms
We are asking UK investment firms to provide feedback on the UK Investment Firm Prudential Regime.