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Showing 1 to 11 of 195 search results for mifid.

  1. MiFID II: product governance review

    Multi-firm reviews Published: 26/02/2021 Last modified: 26/02/2021
    In this MiFID II review we looked at product governance in a sample of 8 asset management firms.
  2. Implementing Technology Change

    Firms Multi-firm reviews Published: 05/02/2021 Last modified: 05/02/2021
    This review sets out the findings from our cross-Financial Services change management review which looked at how financial firms manage technology change, the impact of change failures and the practices utilised within the industry to help reduce
  3. PS20/16: Updating the Dual-regulated firms Remuneration Code to reflect CRD V

    Policy statements Published: 17/12/2020 Last modified: 25/02/2021
    This PS summarises the feedback we received during the consultation period and our response to it. We set out our final rules on remuneration for dual-regulated firms and revise our previous guidance.
  4. Supervisory Statement on the Operation of the MiFID Markets Regime after the end of the EU withdrawal transition period [pdf]

    Documents Published: 16/12/2020
    This statement sets out how we will operate the pre- and post-trade transparency regime for the secondary trading of financial instruments after the transition period.
  5. CP20/24: A new UK prudential regime for MiFID investment firms

    Consultations Consultation papers Published: 14/12/2020 Last modified: 14/12/2020
    We are consulting on our first phase of proposed rules to introduce the UK Investment Firm Prudential Regime (IFPR). IFPR is a new prudential regime for UK firms authorised under the Markets in Financial Instruments Directive (MiFID).
  6. CP20/24: A new UK prudential regime for MiFID investment firms [pdf]

    Consultation papers Published: 14/12/2020
    We seek views on the first tranche of our proposed rules to introduce the UK Investment Firm Prudential Regime (IFPR), a new prudential regime for UK firms authorised under MiFID
  7. Transcript: The new prudential regime for investment firms [pdf]

    Transcripts Investment management Published: 01/12/2020 Last modified: 01/12/2020
    Transcript: The new prudential regime for investment firms
  8. Trade transparency and market liquidity data

    Data Published: 10/09/2020 Last modified: 10/09/2020
    In the FCA's 2019/2020 business plan the FCA noted that it tracked the proportions of trades carried out on venues with varying levels of trade disclosure.
  9. Potentially Anomalous Trading Ratio

    Data Published: 10/09/2020 Last modified: 10/09/2020
    The FCA committed to developing and publishing additional measures that will further illustrate the state of UK markets.
  10. Market Watch issue 64: market conduct and Brexit and MiFID II transaction reporting issues [pdf]

    Newsletters Published: 27/08/2020 Last modified: 27/08/2020
    This edition of Market Watch provides important information to help MiFID II firms prepare for the end of the transition period.