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About 149 results.

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

    Data Published: 21/06/2018
    Publication of UK FCA actions (suspensions, removals and restorations) under MiFID article 32 and 52.
  2. Outsourcing of Portfolio Management: List of Cooperation Agreements [pdf]

    Corporate documents Published: 14/06/2018
    A list of the supervisory authorities in third countries with which we have cooperation agreements. This list can be used by firms to assess their compliance with Article 32(1) of the MiFID Org Regulation.
  3. Welsh MiFID individual notification change controller form: Hysbysiad am Newid mewn Rheolydd [docx]

    Forms Published: 13/06/2018
  4. mifid-trust-notification-for-change-in-controller.doc [doc]

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

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

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

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

    Forms Published: 06/06/2018
  9. mifid-change-legal-status-notes.docx [docx]

    Forms Published: 04/06/2018
  10. Automated investment services - our expectations

    Multi-firm reviews Published: 21/05/2018 Last modified: 21/05/2018
    The FCA carried out two reviews, the first looking at firms offering automated online discretionary investment management and the second looked at firms providing retail investment advice exclusively through automated channels. The FCA reports back on findings and next steps.