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Showing 171 to 180 of 199 search results for reporting rules under MiFID II.

  1. Andrew Bailey speech at the Annual Public Meeting 2018

    Speeches Published: 11/09/2018 Last modified: 11/09/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2018 Annual Public Meeting.

  2. Recovery plans – initial observations

    News stories Published: 19/05/2016 Last modified: 19/05/2016
    Firms are encouraged to review the relevant sections of the FCA’s and EBA’s rules and guidelines for further information on their obligations under the Recovery and Resolution Directive (RRD). ... Plans that include an appropriate communication

  3. PS13/5 Implementation of the Alternative Investment Fund Managers Directive

    Policy statements Published: 28/06/2013 Last modified: 29/05/2018
    We are setting out our rules for implementing the Alternative Investment Fund Managers Directive (AIFMD) and responding to the feedback to our consultation.

  4. The FCA's response to COVID-19 and expectations for 2020

    Speeches Published: 04/06/2020 Last modified: 04/06/2020
    Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at PIMFA’s Virtual Festival.

  5. Challenges for the regulator - consumer credit, long-term savings and an ageing population

    Speeches Published: 04/10/2017 Last modified: 04/10/2017
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at City Banquet, Mansion House.

  6. Consumer Investments: Strategy and Feedback Statement

    Corporate documents Published: 14/09/2021 Last modified: 15/06/2023
    The FCA sets out its view of consumer harm in this market and its 3-year strategy to address this. 

  7. CFD firms fail to meet our expectations on appropriateness assessments

    Multi-firm reviews Published: 29/06/2017 Last modified: 29/06/2017
    Findings from our review of appropriateness assessments for sales of contracts for difference (CFD) products, through a sample of 23 firms.

  8. Consumer Investments Strategy - 2 Year Update

    Corporate documents Published: 08/12/2023 Last modified: 13/05/2024
    The FCA provides a 2 year update on its progress against the workstreams and outcomes it committed to in its Consumer Investments Strategy in September 2021.

  9. SM&CR information related to general insurance and protection intermediary firms - June 2022

    FOI Release Date of Release: 10/06/2022
    The FCA provides data on the Senior Managers and Certification Regime (SMCR), in respect of: general insurers and general insurance intermediaries.

  10. FCA statement on the Work Plan for ESMA opinions on pre-trade transparency waivers and commodity position limits

    Statements Published: 28/09/2017 Last modified: 28/09/2017
    In the event that we decide it is necessary to change these limits in the light of ESMA opinions, or as otherwise required under MIFID II, we will provide an appropriate ... The FCA’s work plan as detailed can also be found on our MiFID II webpage.