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

    Data Published: 02/04/2019 Last modified: 02/04/2019
    Publication of UK FCA actions (suspensions, removals and restorations) under MiFID article 32 and 52.
  2. PS19/11: Product intervention measures for retail binary options

    Policy statements Published: 29/03/2019 Last modified: 29/03/2019
    In this paper, the FCA sets out its final position and Handbook rules to permanently prohibit the sale, marketing and distribution of binary options to retail consumers by firms that carry out activity in, or from, the UK.
  3. The Operation of the MiFID Transparency Regime post-Brexit: technical communication [pdf]

    Systems information Published: 19/03/2019
  4. Supervisory Statement on the Operation of the MiFID Transparency Regime post-Brexit [pdf]

    Policy statements Published: 14/03/2019
  5. Statements of Policy on the operation of the MiFID Transparency Regime [pdf]

    Policy statements Published: 04/03/2019
  6. MiFID II costs and charges disclosures review findings

    Multi-firm reviews Published: 28/02/2019 Last modified: 28/02/2019
    As part of our supervision work, we looked at the costs and charges disclosures of a sample of 50 firms authorised as MiFID investment firms in the retail investments sector. We wanted to understand if firms were complying with the new rules and what challenges they found in doing so.
  7. Review on disclosure of costs by asset managers

    Multi-firm reviews Published: 28/02/2019 Last modified: 28/02/2019
    We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are.
  8. Call for Input: PRIIPs Regulation – initial experiences with the new requirements

    Feedback statements Published: 28/02/2019 Last modified: 28/02/2019
    In this Feedback Statement, we summarise responses to our Call for Input on the Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation. We also outline our next steps.
  9. CP19/10: Publishing and disclosing costs and charges to workplace pension scheme members and amendments to COBS

    Consultation papers Published: 28/02/2019 Last modified: 28/02/2019
    This consultation sets out our proposed rules to require scheme governance bodies to disclose costs and charges information on an ongoing basis to scheme members, to meet the duty the Pensions Act 2014 places on us. It also sets out some amendments to our COBS 19.8 rules, based on feedback to our Call for Input: PRIIPs Regulation – initial...
  10. Temporary Permissions Regime: MiFID tied agent annex [docx]

    Forms Published: 04/01/2019