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Showing 431 to 440 of 493 search results for under MiFID II.

431. PS15/29: Strengthening accountability in banking: Final amendments to the Decision Procedure and Penalties Manual and the Enforcement Guide

     Policy statements Published: 09/12/2015 Last modified: 26/05/2016
     It may also be of interest to Solvency II firms and Non-Directive firms. ... The Approved Persons Regime for Solvency II firms and Non-Directive firms will apply from 7 March 2016.

432. External audit requirements for small personal investment firms or service companies

     Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
     Learn more about the external audit requirements for small personal investment firms or service companies and what you need to do.

433. The FCA sees improvements in suitability at wealth managers, but concerns remain

     Press Releases Published: 09/12/2015 Last modified: 09/12/2015
     MiFID II will be coming into force in the UK and some of its provisions will apply to firms providing portfolio management services to retail customers.

434. FCA publishes terms of reference for its investment and corporate banking market study

     Press Releases Published: 22/05/2015 Last modified: 04/11/2019
     The Financial Conduct Authority (FCA) has set out the issues it will focus on as part of its market study into competition in investment and corporate banking.

435. Liquidity Management multi-firm review

     Multi-firm reviews Published: 06/07/2023 Last modified: 06/07/2023
     Informing the asset management industry of the conclusions and recommendations from our multi-firm review on fund liquidity management.

436. Insights from the 2020 Cyber Coordination Groups

     Research notes Published: 29/04/2021 Last modified: 29/04/2021
     Overview and insight from the latest quarterly Cyber Coordination Group meeting

437. Information for general insurers and intermediaries in the UK

     Firms Published: 26/02/2019 Last modified: 12/03/2024
     A focus for UK-based general insurers is minimising the disruption for EEA-based customers (including expats), or policies with certain EEA risks.

438. Business interruption insurance test case: draft guidance for firms

     Policy and guidance Guidance consultations Published: 01/06/2020 Last modified: 01/06/2020
     FCA publishes draft guidance for firms on the business interruption insurance test case

439. AI and financial crime: silver bullet or red herring?

     Speeches Published: 20/11/2018 Last modified: 20/11/2018
     Speech by Rob Gruppetta, Head of the Financial Crime Department, delivered at Chatham House. 

440. CP15/31: Strengthening accountability in banking and insurance: regulatory references

     Consultation papers Published: 06/10/2015 Last modified: 08/12/2015
     Senior management functions under the Senior Managers Regime (SMR). Significant harm functions under the Certification Regime (CR). ... PRA senior insurance management functions under the Senior Insurance Managers Regime (SIMR).