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Showing 371 to 380 of 493 search results for under MiFID II.
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IFPR implementation observations: quantifying threshold requirements and managing financial resources
Firms should consider these and how they can strengthen their processes. -
UCITS V: requirements for managers and depositaries
Read more on how increased powers for EU regulators ensures protection and confidence for investors in Undertakings for collective investment in transferable securities (UCITS). -
Surveillance: The FCA's expectations and toolkits
Speech by Patrick Spens, Head of Market Monitoring, at the British Bankers' Association Market Abuse Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
CP20/4: Quarterly Consultation Paper No 27
Once a quarter, we consult on proposed miscellaneous amendments to our Handbook. These tend to be minor changes but we still want to get your feedback on our proposals. -
FCA fines UBS AG £27.6 million for transaction reporting failures
UBS AG (UBS) has been fined £27,599,400 by the Financial Conduct Authority (FCA) for failings relating to 135.8 million transaction reports between November 2007 and May 2017. -
The view from the regulator on Operational Resilience
Speech by Megan Butler, FCA Executive Director of Supervision: Investment, Wholesale and Specialist, delivered on 5 December 2019 at 13.30 -
PS21/6: Implementation of Investment Firms Prudential Regime
We are consulting on our first phase of proposed rules to introduce the UK Investment Firm Prudential Regime (IFPR). IFPR is a new prudential regime for UK firms authorised under the Markets in Financial Instruments Directive (MiFID). -
Cases the FCA has prosecuted for fraud - February 2021
The FCA provides figures The figures for cases that the Unauthorised Business Department have prosecuted for fraud. -
Firms need to register for Connect to update their firm details
Firms need to register for our online Connect platform. You will need it to send us your firm details - also known as a mandatory annual update. This will be a requirement from January 2020, so we suggest you register now in preparation. -
CP14/18: Quarterly consultation No.6
We are proposing to:. amend the procedure for processing a direction or determination by the FCA waiving, varying or disapplying requirements under the Consumer Credit Act 197. ... amend CASS 6 to apply to: (i) small AIFMs when carrying out certain