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Showing 351 to 360 of 493 search results for under MiFID II.

351. PS21/9: Implementation of Investment Firms Prudential Regime

     Policy and guidance Policy statements Published: 26/07/2021 Last modified: 26/07/2021
     This is the second of the Policy Statements we will issue to introduce the Investment Firm Prudential Regime.

352. FCA publishes Insurance Distribution Directive consultation

     Press Releases Published: 06/03/2017 Last modified: 06/03/2017
     The Financial Conduct Authority (FCA) has today published the first of its two consultation papers on the implementation of the Insurance Distribution Directive (IDD).

353. Electronic money and payment service providers: conduct of business requirements

     Tasks for firms Published: 29/07/2015 Last modified: 30/08/2023
     Read more about how conduct of business requirements affect payment service providers (PSPs) and electronic money issuers.

354. FCA steps up focus on fair use of client dealing commission

     Press Releases Published: 10/07/2014 Last modified: 10/07/2014
     4. New European regulations (Markets in Financial Instruments Directive II – MiFID II) will affect the use of dealing commission. ... Today’s paper outlines some key elements of MiFID II and calls for evidence to inform this work.

355. DRSP regulatory framework

     Firms Markets Markets policy Published: 13/01/2017 Last modified: 19/04/2024
     We provide guides that set out the regulatory framework for UK Data Reporting Service Providers (DRSPs). Find out more about how to use these sources.

356. Wealth Management Association (formerly APCIMS) speech

     Speeches Published: 09/10/2013 Last modified: 10/10/2013
     Speech by FCA Chairman, John Griffith-Jones, delivered to the Wealth Management Association in London. This is the text of the speech as drafted, which may differ from the delivered version.

357. Information on enforcement investigations under SMR - June 2022

     FOI Release Date of Release: 06/06/2022
     The FCA answers multiple questions on enforcement investigations under the Senior Managers and Certification Regime.

358. External audit requirements for investment management firms, securities and futures firms and personal investment firms (not small)

     Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
     Read more about the external audit requirements for investment management firms, securities and futures firms, or personal investment firms (not small).

359. Regulatory Developments and the Changing Market Structure

     Speeches Published: 12/03/2014 Last modified: 12/03/2014
     Speech by David Lawton, Director of Markets at the FCA, at the American Bar Association Capital Markets Conference, Law Society, London, Thursday 27 February 2014. This is the text of the speech as drafted, which may differ from the delivered version

360. Our Perimeter Report

     Annual reports Published: 20/07/2022 Last modified: 05/04/2024
     Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products