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Showing 251 to 260 of 493 search results for under MiFID II.

251. Looking ahead to 2014

     Speeches Published: 09/12/2013 Last modified: 09/12/2013
     Speech by Martin Wheatley, Chief Executive of the FCA, at the ICI Global Trading and Market Structure Conference. This is the text of the speech as drafted, which may differ from the delivered version.

252. Operational Resilience

     Tasks for firms Published: 17/05/2017 Last modified: 04/03/2024
     We set out the requirements of our policy and how to report an operational disruption.

253. Transaction reporting

     Markets Transaction reporting Published: 29/05/2016 Last modified: 12/01/2024
     We use transaction reports to detect and investigate suspected market abuse. Find out more about the submission of transaction reports and the data they should contain.

254. MiFID Annex I: Application form for a data reporting services provider [docx]

     Forms Published: 13/01/2017 Last modified: 17/03/2022
     MiFID Annex I: Application form for a data reporting services provider

255. MiFID Checklist: Wholesale [docx]

     Forms Published: 13/01/2017 Last modified: 13/12/2021
     MiFID wholesale checklist - application for authorisation

256. Notification form for changes to the membership of the management body (Annex III) form [docx]

     Forms Published: 11/12/2017 Last modified: 31/08/2022
     MiFID II Notification form for changes to the membership of the management body (Annex III) form

257. MiFID Maturity Assessment Form [xlsx]

     Forms Published: 13/01/2017

258. 2016 Disclosure Log

     Last modified: 30/01/2020
     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 2016. 

259. Depositaries

     Focus areas Published: 08/06/2016 Last modified: 01/02/2023
     How to apply to act as a depositary of an authorised or unauthorised Alternative Investment Fund.

260. Update on the Double Volume Cap

     Statements Published: 04/03/2021 Last modified: 04/03/2021
     The FCA has published a revised version of its Statement of Policy about the use of a temporary power it has under UK Markets in Financial Instruments Regulation (MiFIR).