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Showing 161 to 170 of 199 search results for reporting rules under MiFID II.
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Personal investment firms that give bad advice to hold capital for redress
Our proposals to require personal investment firms to set aside capital so that they can cover compensation costs. -
Statement on accounting for lease modifications (amendment to IFRS 16)
We are announcing temporary relief for issuers who choose to use the amended IFRS 16 during the coronavirus (Covid-19) pandemic and its aftermath. -
Implementing MiFID II – multi-firm review of research unbundling reforms
Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately. These are the findings of our review on how -
Seizing opportunity – challenges and priorities for the FCA
Speech by our CEO, Nikhil Rathi, delivered at the Lord Mayor's City Banquet at Mansion House -
FCA confirms extension of the Temporary Permission Regime deadline
The FCA has today confirmed the deadline for notifications for the temporary permissions regime (TPR) will be extended to the end of 30 October 2019. TPR would allow EEA-based firms passporting into the UK to continue new and existing regulated -
Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms
Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms -
Maintaining market confidence: an update on Brexit
Speech delivered by Nausicaa Delfas, Executive Director of International at the City and Financial: 3rd UK Financial Services Brexit Summit -
Partly contested cases, the pipeline and AML investigations
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime. -
Payment for order flow multi-firm review findings
This final report on our recent supervisory work on conflicts of interest and payment for order flow (PFOF) follows the preliminary findings published in Market Watch 56 in September 2018. -
FCA sets out approach to Non-Executive Directors and the Senior Managers Regime
their operation, and reporting to the regulator where an employment tribunal finds in favour of the whistleblower. ... for non-directive insurers, a consultation on individual accountability. These documents will be followed by final rules.