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Showing 421 to 430 of 493 search results for under MiFID II.

421. PS19/18: Restricting contract for difference products sold to retail clients

     Policy statements Published: 01/07/2019 Last modified: 02/07/2019
     We have finalised rules restricting how CFDs and CFD-like options are sold, marketed, and distributed to retail consumers.

422. Five sentenced in FCA prosecution of £2.8m investment fraud

     Press Releases Published: 04/09/2018 Last modified: 04/09/2018
     Operation Tidworth was the FCA’s second largest ever criminal prosecution. The instigator and main beneficiary of the fraud, Michael Nascimento, will be sentenced separately on 14 September 2018.

423. The FCA's response to COVID-19 and expectations for 2020

     Speeches Published: 04/06/2020 Last modified: 04/06/2020
     Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at PIMFA’s Virtual Festival.

424. FCA sets out approach to Non-Executive Directors and the Senior Managers Regime

     Press Releases Published: 23/02/2015 Last modified: 23/02/2015
     Consultation paper: Approach to non-executive directors in banking and Solvency II firms & Application of the presumption of responsibility to Senior Managers in banking firm. ... A consultation on guidance on what may constitute reasonable steps and the

425. Investment managers still failing to ensure effective oversight of best execution

     Multi-firm reviews Published: 03/03/2017 Last modified: 25/11/2021
     We outline findings from supervisory work looking at how investment managers deliver best execution for their clients.

426. A more effective approach to combatting financial crime

     Speeches Published: 21/09/2016 Last modified: 29/09/2016
     Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the BBA Financial Crime and Sanctions Conference.

427. Occasional Paper No. 37: Flash Crash in an OTC Market

     Occasional papers Published: 12/06/2018 Last modified: 12/06/2018
     This Occasional Paper contributes to the research on flash crashes which are high-profile episodes that can be thought of as short-lived malfunctions of capital markets typically involving a substantial price change and a drying up of liquidity

428. FCA fines Merrill Lynch International £13.2 million for transaction reporting failures

     Press Releases Published: 22/04/2015 Last modified: 22/04/2015
     MiFID II will take effect from 3 January 2017 and will mean additional instruments will be transaction reported to the FCA and other competent authorities. ... MiFID II has been comprehensively revised to improve the functioning of financial markets in

429. Potentially Anomalous Trading Ratio 2019/20

     Data Published: 10/09/2020 Last modified: 11/06/2021
     The FCA committed to developing and publishing additional measures that will further illustrate the state of UK markets.

430. PS17/21: Insurance Distribution Directive implementation – Feedback to CP17/7 and near-final rules

     Policy statements Published: 25/09/2017 Last modified: 01/06/2018
     This is our first Policy Statement setting out our near final rules for our implementation of the Insurance Distribution Directive (IDD).