Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 31 to 40 of 199 search results for reporting rules under MiFID II.

  1. 2019 Disclosure Log

    Last modified: 20/03/2024
    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 2019. 

  2. DP15/3: Developing our approach to implementing MiFID II conduct of business and organisational requirements

    Discussion papers Published: 26/03/2015 Last modified: 03/11/2016
    DP15/3: Developing our approach to implementing MiFID II conduct of business and organisational requirements. ... For more information see a timeline of MiFID II implementation and read our pages on MiFID II.

  3. Four building blocks of efficient capital markets

    Speeches Published: 01/02/2013 Last modified: 29/03/2013
    Speech by David Lawton, Director of Markets, FSA at the Practising Law Institute Conference

  4. 2017 Disclosure Log

    Last modified: 16/11/2023
    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 2017. 

  5. Where next for investment and asset management regulation?

    Speeches Published: 28/09/2017 Last modified: 02/10/2017
    Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.

  6. Modelling integrity through culture

    Speeches Published: 19/11/2013 Last modified: 19/11/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

  7. Investor engagement in a changing regulatory landscape

    Speeches Published: 13/07/2015 Last modified: 14/07/2015
    Of course, the debate in relation to the connection between research and dealing commission has now very much moved to the European stage, due to the development of proposals under MIFID ... II. ESMA provided its final advice to the European Commission

  8. Rules that apply to firms in SRO and fund operators in the TMPR

    Firms Focus areas Published: 19/08/2020 Last modified: 02/01/2024
    We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR).

  9. MiFID reporting after the Brexit transition period

    Firms Focus areas Markets Markets policy Published: 04/12/2020 Last modified: 11/01/2023
    Read this page if your firm is migrating to FCA FIRDS or FCA FITRS after 31 December 2020. You will find information here about what you need to do. 

  10. Asset management market study

    Market studies Published: 18/11/2015 Last modified: 24/09/2018
    We have published the final findings of our asset management market study. As part of this, we set out a package of remedies to address the concerns identified.