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Showing 1 to 11 of 175 search results for mifid.

  1. MiFID Checklist: Retail [docx]

    Forms Published: 09/12/2019 Last modified: 06/12/2019
    Application for authorisation
  2. Implementing MiFID II – multi-firm review of research unbundling reforms

    Multi-firm reviews Published: 19/09/2019 Last modified: 19/09/2019
    Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately. These are the findings of our review on how firms have implemented these rules since their introduction in January 2018.
  3. mifid-individual-notification-for-change-in-controller.doc [doc]

    Forms Published: 16/09/2019
  4. Measuring market cleanliness – the Abnormal Trading Volume ratio

    Data Published: 09/07/2019 Last modified: 09/07/2019
    In our 2018/19 Annual Report we have published a new measure of market cleanliness – the Abnormal Trading Volume ratio (ATV).
  5. PS19/18: Restricting contract for difference products sold to retail clients

    Policy statements Published: 01/07/2019 Last modified: 02/07/2019
    We have finalised rules restricting how CFDs and CFD-like options are sold, marketed, and distributed to retail consumers.
  6. Payment for order flow multi-firm review findings

    Multi-firm reviews Published: 23/04/2019 Last modified: 23/04/2019
    This final report on our recent supervisory work on conflicts of interest and payment for order flow (PFOF) follows the preliminary findings published in Market Watch 56 in September 2018.
  7. PS19/11: Product intervention measures for retail binary options

    Policy statements Published: 29/03/2019 Last modified: 29/03/2019
    In this paper, the FCA sets out its final position and Handbook rules to permanently prohibit the sale, marketing and distribution of binary options to retail consumers by firms that carry out activity in, or from, the UK.
  8. The Operation of the MiFID Transparency Regime post-Brexit: technical communication [pdf]

    Systems information Published: 19/03/2019
  9. Supervisory Statement on the Operation of the MiFID Transparency Regime post-Brexit [pdf]

    Policy statements Published: 14/03/2019
  10. Statements of Policy on the operation of the MiFID Transparency Regime [pdf]

    Policy statements Published: 04/03/2019