Search results
Showing 22 to 31 of 56 search results for under MiFID II to around 30-35.
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Financial Services Register
To look up details of firms, use The Financial Services Register. The register is a public record that shows details of firms, individuals and other bodies that are, or have been, regulated by the Prudential Regulation Authority (PRA) and/or the Financial Conduct Authority (FCA). -
Brexit and financial services: where have we got to?
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at the City Banquet, Mansion House, London. -
UK EMIR news
Read our archive of news relating to EMIR dating back to August 2013. -
Call for Input: PRIIPs Regulation – initial experiences with the new requirements
In this Feedback Statement, we summarise responses to our Call for Input on the Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation. We also outline our next steps. -
From intellectual certainty to debate
And, in core policy areas that set the framework for secondary market trading, like MiFID II, draft technical standards have been published and are now open for consultation. ... Just two on liquidity. And this, effectively, is the subtext to MiFID II -
2018 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2018. -
Asset management: A regulatory perspective
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at London Business School Annual Asset Management Conference. -
Automated advice: existing rules and guidance
Before applying for Innovation Pathways, read our existing rules and guidance to check whether your question is covered. -
Four building blocks of efficient capital markets
Speech by David Lawton, Director of Markets, FSA at the Practising Law Institute Conference -
Personal investment firms that give bad advice to hold capital for redress
Our proposals to require personal investment firms to set aside capital so that they can cover compensation costs. -
TR16/1: Assessing suitability: Research and due diligence of products and services
We were disappointed to identify issues relating to platform research and due diligence, particularly having previously published our expectations around this topic. ... We will be publishing a second consultation paper on the implementation of the