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

    Data Published: 21/02/2019 Last modified: 21/02/2019
    Publication of UK FCA actions (suspensions, removals and restorations) under MiFID article 32 and 52.
  2. Temporary Permissions Regime: MiFID tied agent annex [docx]

    Forms Published: 04/01/2019
  3. CP18/28: Brexit: proposed changes to the Handbook and Binding Technical Standards – first consultation

    Consultation papers Published: 10/10/2018 Last modified: 25/10/2018
    In this paper, we publish our proposals on how we will amend our Handbook and EU derived binding technical standards (BTS) if the UK leaves the EU without an implementation period in place. We also set out our proposed approach to EU non-legislative material such as Level 3 Guidelines and Q&As.
  4. mifid-change-legal-status-notes.docx [docx]

    Forms Published: 02/10/2018 Last modified: 28/09/2018
  5. MiFID Fees and Levies Supplement Form: Retail [docx]

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

    Impact assessments Published: 01/08/2018
    Extension of MiFID II product governance provisions to non-MiFID firms
  7. 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
  8. mifid-trust-notification-for-change-in-controller.doc [doc]

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

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

    Forms Published: 06/07/2018