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Showing 31 to 40 of 493 search results for under MiFID II.

31. MiFID II: product governance review

    Multi-firm reviews Published: 26/02/2021 Last modified: 15/04/2021
    In this MiFID II review we looked at product governance in a sample of 8 asset management firms.

32. Effective global regulation in capital markets

    Speeches Published: 05/12/2017 Last modified: 11/04/2018
    Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London

33. From intellectual certainty to debate

    Speeches Published: 25/02/2015 Last modified: 26/02/2015
    And, in core policy areas that set the framework for secondary market trading, like MiFID II, draft technical standards have been published and are now open for consultation. ... Just two on liquidity. And this, effectively, is the subtext to MiFID II

34. Wholesale market policy – a year in review

    Speeches Published: 11/12/2015 Last modified: 11/12/2015
    Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at the ICI Global Trading and Market Structure Conference in London on 8 December 2015. This is the text of the speech as drafted, which may differ from the

35. Pre-trade transparency waivers [pdf]

    Correspondence Published: 19/12/2016
    On 19 December 2016 ESMA published Q&A on the process of how it delivers opinions to national competent authorities on pre-trade transparency waivers. In light of this we have written to UK operators of trading venues. This letter is relevant to

36. Cryptocurrency derivatives

    Statements Published: 06/04/2018 Last modified: 06/04/2018
    FCA statement on the requirement for firms offering cryptocurrency derivatives to be authorised.

37. Assessing the value of financial advice

    Speeches Published: 04/12/2017 Last modified: 11/04/2018
    Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to The Personal Investment Management and Financial Advice Association (PIMFA) in London.

38. Market Interface Specification (MIS) confidentiality agreement [docx]

    Forms Published: 31/10/2016 Last modified: 03/04/2019
    Entities wishing to become submitting entities under MiFID II need to complete a confidentiality agreement to request a copy of the Market Interface Specification (MIS).

39. CP17/19: Markets in Financial Instruments Directive II Implementation – Consultation Paper VI

    Consultation papers Published: 03/07/2017 Last modified: 03/07/2017
    We are consulting on our sixth set of implementation proposals for MiFID II and seeking views on the proposed changes to the FCA Handbook.

40. Regulation of markets in financial instruments

    Firms Focus areas Markets Markets policy Published: 23/05/2016 Last modified: 11/08/2023
    UK legislation and rules regulating markets in financial instruments are known as the UK MiFID framework. The FCA explains these requirements for investment firms and trading venues.