Search results
Showing 291 to 300 of 493 search results for under MiFID II.
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Endorsement of credit ratings for regulatory use from the EU into the UK
UK-registered credit rating agencies (CRAs) will be able to endorse credit ratings into the UK from affiliated EU CRAs for regulatory use. -
Transaction reporting fines
Find out how the FCA are able to effectively monitor for market abuse. -
Transaction reporting forum
The FCA explain how transaction reporting forums are used. -
Authorisation and registration application fees
Find out how much your firm’s application fee will be to become authorised by us, or registered with us. -
FCA response to ESMA's public statement on LEIs
On 20 December, ESMA issued a public statement to support the smooth introduction of the Legal Entity Identifier (LEI) requirements for MiFID II implementation. -
Repeal and replacement of assimilated law
Documents on the repeal and replacement of provisions in the retained EU law. -
Contract for differences
Find out about the FCA's expectations of providers and brokers offering retail consumers contract for differences (CFD) products, which include spread betting and rolling spot foreign exchange (FX). -
International policy and commodities markets regulation
Find out how international policy influences regulation of commodities markets and the affect of likely changes. -
Client agreements for transferring investment business
Firms carrying on designated investment businesses that acquire new clients through a transfer of business or takeover need proof of customer consent -
MiFID Fees and Levies Supplement Form: Retail [docx]