Search results
Showing 361 to 370 of 493 search results for under MiFID II.
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BNY Mellon Wealth Management (clone of FCA authorised firm)
Fraudsters copy the details of firms we authorise to try and convince people that their firm is genuine. Find out why you shouldn’t deal with this clone firm. -
Information on the proposed BSPS redress scheme (CP22/6) - May 2022
The FCA answers multiple questions regarding information relevant to the FCA's thematic and supervisory work in relation to DB pension transfers, specific to, but not limited to, the proposed BSPS redress scheme (CP22/6). -
FCA publishes Annual Report and Accounts 2017/18
The Financial Conduct Authority (FCA) has today published its Annual Report and Accounts, which looks back on the key pieces of work undertaken by the organisation throughout 2017/18. -
FCA publishes annual report and accounts 2016/17
The FCA has published its Annual Report and Accounts, which looks back on the key pieces of work undertaken by the organisation throughout 2016/17. -
Automated investment services - our expectations
The FCA carried out two reviews, the first looking at firms offering automated online discretionary investment management and the second looked at firms providing retail investment advice exclusively through automated channels. The FCA reports back -
Fair and effective markets review
Regulatory reforms in Europe like MiFID 2 and the new Market Abuse Regulation, and in the US like the Dodd-Frank Act. ... G20 Pittsburgh agreement (e.g., MiFID 2) were probably sufficient for now. -
Notice to all FCA regulated firms with exposure to cryptoassets
We are reminding all regulated firms of their existing obligations when they are interacting with or exposed to cryptoassets and related services. -
PS18/10: Retiring FG12/15 and FG14/1
This Policy Statement outlines the response to our consultation launched in PS17/25 on the retirement of guidance FG12/15 and FG14/1, and confirms that both FG12/15 and FG14/1 have been retired. -
Inducements and conflicts of interest thematic review: key findings
We are not publishing a thematic report, as this work will be taken into account in our planned MiFID II consultation paper. ... However, given the recent European Parliament confirmation of the delay in implementing MiFID II to 3 January 2018, we are -
FCA keeps trading apps under review over gaming concerns
In an online experiment with over 9,000 consumers, the FCA found that digital engagement practices (DEPs) used by trading apps, such as push notifications and prize draws, can increase trading frequency and risk taking.