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Showing 451 to 460 of 493 search results for under MiFID II.
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CP15/5: Approach to non-executive directors in banking and Solvency II firms & Application of the presumption of responsibility to Senior Managers in banking firms
CP15/5: Approach to non-executive directors in banking and Solvency II firms & Application of the presumption of responsibility to Senior Managers in banking firms. ... CP15/5: Approach to non-executive directors in banking and Solvency II firms & -
FCA steps up efforts to ensure firms are getting ready for a no-deal Brexit
We are stepping up our efforts to ensure firms are aware of what they need to do to prepare for the potential of a no-deal Brexit. -
FCA consults on how to extend the Senior Managers Regime to benchmark administrators
FCA consults on how to extend the Senior Managers Regime (SMR) to benchmark administrators -
Brexit: information for participants in the wholesale markets operating in the UK (including wholesale banks, wholesale markets and asset managers)
Passporting between the UK and EEA states has now ended. Find out more about the other ways in which firms can access the EEA. -
FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms
banks, and also confirms reforms to the approved persons regime for Solvency II firms. ... The FCA has today set out final rules for the approved persons regime for individuals working in Solvency II firms. -
Consumer Investments Strategy - 2 Year Update
The FCA provides a 2 year update on its progress against the workstreams and outcomes it committed to in its Consumer Investments Strategy in September 2021. -
Consumer Investments Strategy – 1 year update
The FCA provides an update on its progress against the workstreams and outcomes it committed to in its Consumer Investments Strategy in September 2021. -
IFPR implementation observations: quantifying threshold requirements and managing financial resources – concluding report
Further observations on how firms are implementing requirements on the Internal Capital Adequacy and Risk Assessment process and reporting under the Investment Firms Prudential Regime. -
FCA announces the names of firms who have participated in the Advice Unit and publishes the FAMR baseline report
The Financial Conduct Authority (FCA) has today announced the names of firms who have participated in the Advice Unit. -
Capital Markets Union – a regulator’s perspective
Speech by David Lawton, Director of Markets, Policy and International, at the FCA, delivered at the Deutsche Borse Group ‘Blueprint for a European Capital Markets Union’ event on 27 May 2015 at the ETC venues, London. This is the text of the