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Showing 1 to 11 of 184 search results for mifid.

  1. CP20/14: Updating the Dual-regulated firms Remuneration Code to reflect CRD V

    Consultation papers Published: 03/08/2020 Last modified: 03/08/2020
    We set out proposals to amend our Dual-regulated firms Remuneration Code and relevant non-Handbook guidance to reflect CRD V.
  2. DP20/2: Prudential requirements for MiFID investment firms

    Discussion papers Published: 23/06/2020 Last modified: 23/06/2020
    This Discussion Paper sets out initial views as well as technical details on the Investment Firm Directive (IFD) and the Investment Firm Regulation (IFR). The Government will be introducing a framework for the new regime for UK firms. We are seeking views on how best to implement this.
  3. DP20/2: A new UK prudential regime for MiFID investment firms [pdf]

    Discussion papers Published: 23/06/2020
    This discussion paper sets out the details of the EU’s new prudential regime for investment firms (IFD/IFR), and seeks feedback from stakeholders on the appropriate rules for the UK to apply in this area
  4. First supervisory notice 2020: F1 Markets Ltd [pdf]

    Supervisory notices Published: 01/06/2020
    This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing services to UK consumers.
  5. First supervisory notice 2020: Hoch Capital Ltd [pdf]

    Supervisory notices Published: 01/06/2020
    This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing services to UK consumers.
  6. First supervisory notice 2020: Magnum FX Cyprus Ltd [pdf]

    Supervisory notices Published: 01/06/2020
    This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing services to UK consumers.
  7. First supervisory notice 2020: Rodeler Ltd [pdf]

    Supervisory notices Published: 01/06/2020
    This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing services to UK consumers.
  8. MiFID Annex Form [docx]

    Forms Published: 29/05/2020 Last modified: 29/05/2020
    Application for Authorisation.
  9. Primary Market Bulletin Issue No. 28 coronavirus (Covid-19) update

    Newsletters Published: 27/05/2020 Last modified: 28/05/2020
    In this special edition, we publish a statement on temporary relief for the timing of the publication of half yearly financial reports.
  10. CP20/4: Quarterly Consultation Paper No 27

    Consultation papers Published: 06/03/2020 Last modified: 03/07/2020
    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.