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Showing 311 to 320 of 493 search results for under MiFID II.

311. Regulating high frequency trading

     Speeches Published: 04/06/2014 Last modified: 04/06/2014
     Speech by Martin Wheatley, CEO, the FCA, at the Global Exchange and Brokerage Conference, New York. This is the text of the speech as drafted, which may differ from the delivered version.

312. Primary Market Bulletin 49

     Newsletters Published: 20/05/2024 Last modified: 31/05/2024
     This issue looks at Annual financial reporting, Long Term Incentive Plans (LTIPs) Global Depositary Receipts (GDRs) report  

313. Competition enforcement powers information - October 2020

     FOI Release Date of Release: 16/10/2020
     FCA provides information relating to competition enforcement powers.

314. Expectations of firms selling client banks

     Firms Published: 19/12/2023 Last modified: 19/12/2023
     In the FCA's view, the client bank is the firm’s asset. It will act where these lists are being sold with redress liabilities.

315. Cryptoassets: AML / CTF regime - Registering with the FCA

     Published: 22/03/2023 Last modified: 01/07/2024
     You must register with us if you want to provide cryptoasset services that come within the scope of money laundering regulations. Find out if this applies to you and how to register.

316. RMA-C Client money and assets: FAQs

     Registers and systems Published: 13/05/2016 Last modified: 13/05/2021
     RMA-C Client money and assets.

317. Christopher Woolard’s statement welcoming the IDWG recommendations

     Statements Published: 05/07/2018 Last modified: 05/07/2018
     On 15 June 2018 we received the report of recommendations from the Institutional Disclosure Working Group (IDWG). The IDWG has now also published a summary of their recommendations.

318. Alternative Investment Managers Remuneration Code (SYSC 19B)

     Tasks for regulated firms Published: 08/05/2015 Last modified: 10/02/2023
     The FCA provide information on Alternative Investment Fund Managers Remuneration Code (SYSC 19B)

319. Market integrity and strategic approach

     Speeches Published: 07/02/2020 Last modified: 20/03/2024
     FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on the confluence of EU, UK and US law and practice in our securities markets.

320. External audit requirements for insurance intermediaries

     Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
     Insurance intermediary audit requirements for firms. Read more about what you need to do.