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Showing 141 to 150 of 217 search results for views on MiFID II implementation.
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FCA publishes annual report and accounts 2016/17
The FCA has published its Annual Report and Accounts, which looks back on the key pieces of work undertaken by the organisation throughout 2016/17. -
Personal data and authorisation
How and why the FCA uses personal data that is collected via forms on its online portals: Connect, RegData and Online Invoicing. -
Market integrity and strategic approach
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on the confluence of EU, UK and US law and practice in our securities markets. -
Market Watch 70
In this Market Watch, we outline recent observations on the transaction reporting and instrument reference data regimes. These will be of interest to investment firms, credit institutions, trading venues, systematic internalisers, and approved -
Brexit: information for retail investments firms in the UK
If you have customers based in the EEA, find out what actions we expect you to have taken now the transition period is over. -
Automated investment services - our expectations
The FCA carried out two reviews, the first looking at firms offering automated online discretionary investment management and the second looked at firms providing retail investment advice exclusively through automated channels. The FCA reports back -
CP20/4: Quarterly Consultation Paper No 27
Once a quarter, we consult on proposed miscellaneous amendments to our Handbook. These tend to be minor changes but we still want to get your feedback on our proposals. -
Remuneration and performance management of sales staff (SYSC 19F)
FCA provides rules on staff incentives and the remuneration of sales staff and advisers. -
Investor engagement in a changing regulatory landscape
II. ESMA provided its final advice to the European Commission in December 2014 on detailed proposals to support the new MIFID II Directive, including in the area of research and ... potentially future ESMA guidelines, our view is that corporate access -
FCA sets out its approach to the share trading obligation
We confirm our approach to the STO) at the end of the Brexit transition period, if mutual equivalence is not agreed.