Search results
Showing 391 to 400 of 493 search results for under MiFID II.
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FCA fines Goldman Sachs International £34.3 million for transaction reporting failures
Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and timely reporting relating to 220.2 million transaction reports between November 2007 and March 2017. -
FCA publishes final report on IFPR implementation observations
Final report on our multi-firm review into firms’ progress in implementing the ICARA process and reporting requirements under the IFPR. -
DP20/2: Prudential requirements for MiFID investment firms
This Discussion Paper sets out initial views as well as technical details on the Investment Firm Directive (IFD) and the Investment Firm Regulation (IFR). The Government will be introducing a framework for the new regime for UK firms. We are seeking -
Consumer investments data review April 2020 - March 2021
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2020 and 31 March 2021. -
Mortgage lending & administration data items: FAQs
Mortgage lending & administration data items: FAQs -
Overall responsibility and the legal function: DP16/4
In September 2016, we launched Discussion Paper DP16/4 to clarify how and why the legal function is currently captured under the Senior Managers and Certification Regime (SM&CR) and to consider whether it should continue to be part of the regime. -
CASS compliance – the bigger picture
Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA's key priorities for the financial advice industry
Speech by Therese Chambers, our Director of Consumer Investments, delivered at the Personal Finance Society's Festival of Financial Planning. -
MiFID Investment, Home Finance and Non-Investment Insurance Contracts Supplement Form [docx]
MiFID Investment, Home Finance and Non-Investment Insurance Contracts Supplement Form -
FCA fines Merrill Lynch £34.5 million for failing to report transactions
Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and 6 February 2016.