Search results
Showing 141 to 150 of 493 search results for under MiFID II.
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FCA publishes terms of reference for asset management market study
From 31 December 2016, manufacturers and distributors of packaged retail and insurance-based investment products (PRIIPs) will be required to provide retail investors with a Key Information Document (‘KID’) under the ... MIFID II comes into force in -
Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR). -
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. -
International regulatory developments affecting investment management
Speech by Nikhil Rathi, FCA Chief Executive, delivered at the Investment Association Annual Conference 2024. -
The vital relationship between the regulator and the advisory industry
Speech by John Griffith-Jones, Chairman of the FCA, at The Association of Professional Financial Advisers (APFA) Annual Gala Dinner delivered at Banking Hall, London. This is the text of the speech as drafted, which may differ from the delivered -
Position limits for commodity derivative contracts
We are required to set limits on the maximum size of positions which a person can hold in commodity derivatives. Here we set out these position limits. -
Information on fines and active or closed investigations since January 2018 - April 2020
The FCA provides information on any fines levied and the number of active or closed investigations since January 2018 for breaching requirements under Directive 2014/65/EU (MiFID II) and Regulation (EU) No 600/2014 (MiFIR) to report RTS 24 order -
PS21/20: Changes to UK MiFID’s conduct and organisational requirements
We set out our final policy position and rules on changes to the research rules and removal of best execution reporting in RTS 27 and RTS 28 following feedback to CP21/9. -
Review of host Authorised Fund Management firms
We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed. -
Implementing Technology Change
This review sets out the findings from our cross-Financial Services change management review which looked at how financial firms manage technology change, the impact of change failures and the practices utilised within the industry to help reduce