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Showing 411 to 420 of 493 search results for under MiFID II.

411. Cwyno amdanom ni, y PRA neu Banc Lloegr (y rheoleiddwyr)

     Last modified: 04/02/2019
     Cael gwybod sut i wneud cwyn am y rheoleiddwyr a sut rydym yn ymchwilio i gwynion.

412. TR14/13 - Best execution and payment for order flow

     Thematic reviews Published: 31/07/2014 Last modified: 31/07/2014
     Additional obligations in the recast Markets in Financial Instruments Directive (MiFID II) are intended to address some of the specific weaknesses observed in this work, in particular regarding the adequacy of

413. Third consultation on new prudential regime for UK investment firms

     News stories Published: 06/08/2021 Last modified: 06/08/2021
     We are asking UK investment firms to provide feedback on the UK Investment Firm Prudential Regime.

414. FCA to consult on new measures for cash savings account holders

     Press Releases Published: 23/07/2015 Last modified: 23/07/2015
     Switching cash savings accounts will become quicker and easier under proposals announced by the FCA today. ... The final findings and proposed remedies are set out here: MS14/2.3: Cash savings market study report: Part I: Final findings Part II: Proposed

415. Skilled Persons appointments 2017-2021 information – October 2021

     FOI Release Date of Release: 06/10/2021
     FCA provides Skilled Persons appointments 2017-2021 information.

416. Information in relation to FCA exercise of competition enforcement powers - November 2021

     FOI Release Date of Release: 05/11/2021
     The FCA provides information regarding what actions it took in relation to competition enforcement powers.

417. Statement on accounting for lease modifications (amendment to IFRS 16)

     Statements Published: 18/08/2020 Last modified: 21/08/2020
     We are announcing temporary relief for issuers who choose to use the amended IFRS 16 during the coronavirus (Covid-19) pandemic and its aftermath.

418. SM&CR categorisation for solo-regulated firms

     Tasks for regulated firms Published: 31/07/2019 Last modified: 06/02/2023
     Under SM&CR, solo-regulated firms are categorised as limited scope, core or enhanced. Find out which category your firm is in and how you can review this.

419. Consumer Investments: Strategy and Feedback Statement

     Corporate documents Published: 14/09/2021 Last modified: 15/06/2023
     The FCA sets out its view of consumer harm in this market and its 3-year strategy to address this. 

420. Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms

     Statements Published: 03/04/2020 Last modified: 22/09/2022
     Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms