Search results
Showing 241 to 250 of 493 search results for under MiFID II.
-
External audit requirements
Some firms need to appoint an auditor to do an external audit. Read more about the external audit requirements for firms that are not PRA-regulated. -
2013 Disclosure Log
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 2013. -
Regulated covered bonds
Covered bonds are a type of secured bond usually backed by mortgages or public sector loans. Read about the UK regulated covered bonds regime. -
MiFID IT Controls Form [xlsx]
-
Notifications under Payment Services Regulations 2017
Read about the reporting and notification requirements under the PSRs, including major incident reporting. -
CP21/26: A new UK prudential regime for MiFID investment firms [pdf]
We are seeking views on the third tranche of our proposed rules to introduce the Investment Firms Prudential Regime a new prudential regime for UK firms authorised under the Markets in Financial Instruments Directive. -
CP21/28: New cancellation and variation power: Changes to the Handbook and Enforcement Guide [pdf]
We are seeking views on the third tranche of our proposed rules to introduce the Investment Firms Prudential Regime (IFPR), a new prudential regime for UK firms authorised under the Markets in Financial Instruments Directive (MiFID). -
MiFID Checklist: Retail [docx]
Application for authorisation -
Supervision of UK regulated covered bonds
Find out about our role supervising regulated covered bond programmes and regulated covered bonds, key features of the regime and stress testing. -
Cysylltwch â Ni
Defnyddwyr (a phobl sy'n cynrychioli defnyddwyr)