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About 130 results.

  1. MiFID II Systematic Internaliser and Electronic Trading Notification Guide [pdf]

    Systems information Published: 11/09/2017
    This guide is designed to assist with the submission of the Systematic Internaliser Notification and the Electronic Trading Notification form.
  2. Notice of intention to cancel arrangements to facilitate the access to an MTF or an OTF from another EEA State in accordance with the Markets in Financial Instruments Directive (MiFID) [pdf]

    Forms Published: 01/09/2017
  3. Notice of intention to provide arrangements to facilitate the access to an MTF or an OTF from another EEA State under the Markets in Financial Instruments Directive (MiFID) [pdf]

    Forms Published: 01/09/2017 Last modified: 01/09/2017
  4. Q&A on MiFID II commodity derivatives [pdf]

    Meeting minutes Published: 02/08/2017
    This publication will assist you with your preparations for MiFID II implementation on commodity derivatives.
  5. CP17/29: Client money and unbreakable deposits

    Consultation papers Published: 01/08/2017 Last modified: 01/08/2017
    We are consulting on proposed changes to the Client Assets sourcebook (CASS) on depositing client money in unbreakable deposits.
  6. CP17/23: Insurance Distribution Directive implementation – Consultation Paper II

    Consultation papers Published: 24/07/2017 Last modified: 24/07/2017
    We are consulting on our latest proposals for changes required to comply with the Insurance Distribution Directive (IDD).
  7. MIFID II Ancillary Activity Exemption – Notification Guide [pdf]

    Documents Published: 19/07/2017
    Under MiFID II, firms or individuals who trade in commodity derivatives on a professional basis, may be able to make use of an exemption from authorisation.
  8. MiFID II passporting application form: Branch passport [pdf]

    Forms Published: 17/07/2017
    MiFID II notice of intention to establish a branch or change branch particulars.
  9. MiFID II passporting application form: service passport [pdf]

    Forms Published: 17/07/2017
    MiFID II notice of intention to provide cross-border services or to amend existing cross-border services passport
  10. MiFID II passporting application form: MTF/OTF notification [pdf]

    Forms Published: 17/07/2017
    MiFID II notice of intention to provide arrangements to facilitate the access to an MTF or an OTF from another EEA State or to amend details of these arrangements.