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Showing 401 to 410 of 493 search results for under MiFID II.

  1. Efficiency and effectiveness: our approach to primary markets

    Speeches Published: 01/03/2017 Last modified: 01/03/2017
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at Bloomberg.

  2. Maintaining market confidence: an update on Brexit

    Speeches Published: 05/11/2018 Last modified: 05/11/2018
    Speech delivered by Nausicaa Delfas, Executive Director of International at the City and Financial: 3rd UK Financial Services Brexit Summit

  3. External audit requirements for mortgage intermediaries, lenders or administrators

    Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
    Learn more about the external audit requirements for mortgage intermediaries, lenders or administrators and what you need to do.

  4. MiFID Investment, Home Finance and Non-Investment Insurance Contracts Supplement Notes [docx]

    Forms Published: 13/01/2017 Last modified: 22/03/2022
    MiFID Investment, Home Finance and Non-Investment Insurance Contracts Supplement Notes

  5. Recovery plans – initial observations

    News stories Published: 19/05/2016 Last modified: 19/05/2016
    it to take effect, and (ii) doubts about the level of additional capital/liquidity that would be generated. ... Plans that include an appropriate communication strategy are likely to be more effective, particularly under stressed conditions.

  6. The rationale for the FCA’s Mission and the context which the FCA operates in

    Speeches Published: 26/10/2016 Last modified: 10/11/2016
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at City Banquet, Mansion House.

  7. The challenges for insurance and regulators in a Big Data world

    Speeches Published: 22/11/2016 Last modified: 22/11/2016
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at the Association Of British Insurers (ABI) annual conference.

  8. Second consultation on new prudential regime for UK investment firms

    News stories Published: 19/04/2021 Last modified: 19/04/2021
    The IFPR introduces a new prudential regime for MiFID investment firms regulated by the FCA. It will create a single, proportionate regime that reflects firms’ size and business.

  9. Information on Alternative Investment Fund Manager (AIFM) populations - February 2021

    FOI Release Date of Release: 02/02/2021
    The FCA provides data on FCA authorised Alternative Investment Fund Manager (AIFM) firms.

  10. PS16/13: Implementation of the Market Abuse Regulation

    Policy statements Published: 28/04/2016 Last modified: 13/10/2016
    In this Policy Statement we report on the main issues arising from Consultation Paper 15/35: Policy proposals and Handbook changes related to the implementation of the Market Abuse Regulation (2014/596/EU) – and Consultation Paper 15/38:
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