Search results

Showing 271 to 280 of 493 search results for under MiFID II.

271. MiFID Self Certification GEN Form [docx]

     Forms Published: 27/01/2017

272. Instrument Reference Data

     Markets Transaction reporting Published: 30/05/2016 Last modified: 29/09/2022
     Trading venues and systematic internalisers (SIs) are responsible for providing us with instrument reference data.

273. Maturing dormant Child Trust Fund accounts

     Investment managers Published: 09/11/2020 Last modified: 09/11/2020
     Information for Child Trust Fund (CTF) providers on the treatment of dormant accounts at maturity, including legislative changes and how to apply for a modification by consent if a client can’t be contacted.

274. List of EEA market operators applying to become a recognised overseas investment exchange (ROIE)

     Statements Published: 30/01/2019 Last modified: 04/08/2021
     In September 2018, we published a direction (PDF) that clarified how market operators (as defined by MiFID II) from the European Economic Area (EEA) can apply to become a recognised overseas investment exchange (ROIE). This would enable EEA market

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

     Forms Published: 27/01/2017
     This guidance provides clarification on completing the application for a DRSP.

276. Reporting requirements: insurance firms

     Tasks for regulated firms Published: 12/05/2015 Last modified: 09/02/2023
     The Prudential Regulation Authority (PRA) is responsible for the prudential regulation of insurance companies. Learn more about the requirements for reporting.

277. Wholesale markets firm applicants

     Firm authorisation Published: 04/07/2023 Last modified: 02/07/2024
     If you're a wholesale investment firm, you have to be authorised by us. Learn how to prepare your application and what you need to read first.

278. Proxy advisors

     Markets Published: 18/12/2019 Last modified: 17/04/2024
     Proxy advisors offer research, advice or recommendation services. Read more about the Proxy Advisors Regulations, joining our public list and reporting breaches.

279. Trade transparency and market liquidity data 2019/20

     Data Published: 10/09/2020 Last modified: 11/06/2021
     In the FCA's 2019/2020 business plan the FCA noted that it tracked the proportions of trades carried out on venues with varying levels of trade disclosure.

280. Laying myths to rest

     Speeches Published: 17/10/2013 Last modified: 17/10/2013
     Speech by Martin Wheatley, Chief Executive of the FCA, at the British Bankers’ Association Annual International Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.