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Showing 131 to 140 of 156 search results for transaction reporting under MiFID II.
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The future of financial services regulation in the UK
Speech delivered by Nausicaa Delfas, Executive Director of International, at the UK Financial Services Industry Beyond Brexit Summit, London. -
Mortgage lending & administration data items: FAQs
Mortgage lending & administration data items: FAQs -
CFD firms fail to meet our expectations on appropriateness assessments
Findings from our review of appropriateness assessments for sales of contracts for difference (CFD) products, through a sample of 23 firms. -
MiFID reporting after the Brexit transition period
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. -
Automated advice: existing rules and guidance
Before applying for Innovation Pathways, read our existing rules and guidance to check whether your question is covered. -
Our Perimeter Report
Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products -
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. -
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. -
Statement on various MiFID obligations and benchmarks regulation if the UK leaves the EU without an implementation period
ESMA has published a statement clarifying its approach to aspects of the MiFID position limits regime, post-trade transparency requirements, derivatives trading obligation and benchmarks regulation if the UK leaves the EU without an implementation -
Monitoring orders and transactions – our expectations of firms
Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum