We are consulting on our sixth set of implementation proposals for MiFID II and seeking views on the proposed changes to the FCA Handbook.
This consultation deals with a small number of Handbook changes which we have not previously been able to consult upon. This consultation will also cover consequential and miscellaneous changes to the Handbook and new guidance on the use of third parties where firms are required to send us financial instrument reference data or commodity derivative position reports.
Who this applies to
This consultation affects a wide range of firms that we authorise and recognise (as well as unregulated entities trading commodity derivatives), particularly:
- recognised investment exchanges operating multilateral trading facilities and organised trading facilities
- multilateral trading facilities
- prospective data reporting service providers
- firms trading commodity derivatives or economically equivalent over-the-counter contracts
- algorithmic traders providing the services of dealing on own account DEA services to a regulated markets (RM)
What you need to do
Please send us your comments by 7 September 2017:
You can also:
- email [email protected] or
- write to: MiFID Coordination, Financial Conduct Authority, 25 The North Colonnade, Canary Wharf, London E14 5HS
Following consideration of your feedback, we will set out our proposed approach to the final rules for chapters 3 and 4 later this year.