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About 161 results.

  1. UK actions under MiFID II Articles 32 and 52 [xlsx]

    Data Published: 10/08/2018
    Publication of UK FCA actions (suspensions, removals and restorations) under MiFID article 32 and 52.
  2. MiFID Fees and Levies Supplement Form: Retail [docx]

    Forms Published: 09/08/2018 Last modified: 09/08/2018
  3. MiFID Fees and Levies Supplement Notes: Retail [docx]

    Forms Published: 09/08/2018 Last modified: 09/08/2018
  4. Impact Assessment: MiFID II product governance [pdf]

    Impact assessments Published: 01/08/2018
    Extension of MiFID II product governance provisions to non-MiFID firms
  5. Slides from the Transaction Reporting Forum June and July 2018 [pdf]

    Meeting minutes Published: 18/07/2018
    Events held on 26 June and 4 July 2018
  6. mifid-trust-notification-for-change-in-controller.doc [doc]

    Forms Published: 06/07/2018
  7. mifid-corporate-notification-for-change-in-controller.doc [doc]

    Forms Published: 06/07/2018
  8. mifid-individual-notification-for-change-in-controller.doc [doc]

    Forms Published: 06/07/2018
  9. mifid-intragroup-notification-for-change-in-controller.doc [doc]

    Forms Published: 06/07/2018
  10. mifid-partnership-notification-for-change-in-controller.doc [doc]

    Forms Published: 06/07/2018