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Showing 321 to 330 of 493 search results for under MiFID II.

321. External audit requirements for authorised professional firms

     Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
     External audit requirements for authorised professional firms (other than MiFID investment firms). Read more about what you need to do.

322. Consumer Credit Seminar

     Speeches Published: 21/10/2014 Last modified: 20/03/2024
     Speech by Linda Woodall, Director of Mortgage and Consumer Lending of the FCA.

323. Consumer Duty: the art of the possible in a year

     Speeches Published: 20/02/2024 Last modified: 20/02/2024
     Speech by Sheldon Mills, FCA Executive Director of Consumers & Competition on the Consumer Duty at KPMG.

324. DRSP and MDP fees

     Firms Markets Markets policy Published: 03/01/2018 Last modified: 15/12/2022
     There are different types of Data Reporting Services Providers (DRSPs) and Market Data Processor (MDP) fees. Find out more about each fee.

325. Shaping the future in asset management

     Speeches Published: 30/10/2013 Last modified: 30/10/2013
     Keynote speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Asset Management Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

326. FCA consults on aspects of the Markets in Financial Instruments Directive II implementation

     Press Releases Published: 15/12/2015 Last modified: 15/12/2015
     The Financial Conduct Authority (FCA) has today published its first consultation paper on the implementation of the new European Markets in Financial Instruments Directive II (MiFID II) in the UK. ... A significant part of MiFID II takes the form of EU

327. CCR007 consumer credit data: how to complete the return

     Published: 12/09/2016 Last modified: 02/04/2024
     Most consumer credit firms with limited permission are required to complete the CCR007 return. We provide guidance and information for firms on each question in the form.

328. Building a regulatory environment for the future

     Speeches Published: 22/06/2021 Last modified: 22/06/2021
     Speech by our CEO, Nikhil Rathi, delivered at City Week 2021. 

329. CP15/28: Quarterly Consultation Paper No. 10

     Consultation papers Published: 04/09/2015 Last modified: 13/01/2017
     Since publishing our consultation, the MiFID II Delegated Regulation has been published and it now makes specific reference to the identification of the subject of a firm’s suitability assessment where ... As such, we concluded that it would not be

330. CP22/4: Quarterly Consultation Paper No. 35

     Consultation papers Published: 04/03/2022 Last modified: 25/08/2022
     Once a quarter, we consult on proposed miscellaneous amendments to our Handbook.