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Showing 121 to 130 of 493 search results for under MiFID II.

121. Evolving the FCA's approach to markets regulation

     Speeches Published: 19/11/2013 Last modified: 19/11/2013
     Keynote speech by David Lawton, Director of Markets, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

122. Update of position limits for certain commodity derivative contracts

     News stories Published: 05/05/2020 Last modified: 05/05/2020
     The FCA has published updated position limits for certain commodity derivative contracts traded on UK trading venues. The limits have been established under the Markets in Financial Instruments Regulations 2017 (MIFI Regs).

123. Automated advice: existing rules and guidance

     Firms Published: 27/03/2022 Last modified: 10/02/2023
     Before applying for Innovation Pathways, read our existing rules and guidance to check whether your question is covered.

124. Information on open FCA enforcement investigations - December 2020

     FOI Release Date of Release: 21/12/2020
     The FCA provides a breakdown by category of all open FCA investigations as at the 23 November 2020.

125. Preparing for the future of Consumer Investments

     Corporate documents Published: 08/12/2023 Last modified: 08/12/2023
     We want consumers of all wealth levels to be able to make good investment decisions, with confidence and understanding of the risks and the protection involved.

126. UK MiFIR data reporting and LIBOR transition

     Markets Published: 09/07/2021 Last modified: 23/05/2022
     We aim to clarify expectations for investment firms and trading venues submitting UK MiFIR transaction reports and instrument reference data in relation to LIBOR transition

127. Personal investment firms that give bad advice to hold capital for redress

     Press Releases Published: 29/11/2023 Last modified: 30/11/2023
     Our proposals to require personal investment firms to set aside capital so that they can cover compensation costs.

128. FCA confirms extension of the Temporary Permission Regime deadline

     Press Releases Published: 24/05/2019 Last modified: 24/05/2019
     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

129. DRSP authorisation and supervision forms

     Firms Markets Markets policy Published: 13/01/2017 Last modified: 15/12/2022
     We have a number of MAR 9 forms to help your application process. 'Find out about the different data reporting services providers (DRSP) authorisation and supervision documents you may need.

130. IFPR reporting, applications and notifications

     Firms Focus areas Published: 06/05/2022 Last modified: 13/02/2023
     The FCA provides information on how to submit MIFIDPRU applications and notifications, and information about MIF returns.