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  1. technical-standards-under-mifid-ii-and-mifir.pdf [pdf]

    Documents Published: 03/01/2018
  2. mifid-change-legal-status-notes.docx [docx]

    Forms Published: 02/01/2018
  3. mifid-trust-notification-for-change-in-controller.doc [doc]

    Forms Published: 02/01/2018
  4. mifid-corporate-notification-for-change-in-controller.doc [doc]

    Forms Published: 02/01/2018
  5. mifid-individual-notification-for-change-in-controller.doc [doc]

    Forms Published: 02/01/2018
  6. mifid-intragroup-notification-for-change-in-controller.doc [doc]

    Forms Published: 02/01/2018
  7. mifid-partnership-notification-for-change-in-controller.doc [doc]

    Forms Published: 02/01/2018
  8. UK actions under MIFID II Articles 32 and 52 [xlsx]

    Data Published: 20/12/2017 Last modified: 20/12/2017
    Publication of UK FCA actions (suspensions, removals and restorations) under MiFID II article 32 and 52.
  9. Dear CEO letter - Payment for Order Flow [pdf]

    Correspondence Published: 13/12/2017
    This letter sets out the FCA’s views on PFOF in the context of the evolving landscape under MiFID II, drawing attention to the new requirements and that the FCA will take strong action against firms that are identified breaching the new standards.
  10. Notification form for changes to the membership of the management body (Annex III) form [docx]

    Forms Published: 11/12/2017