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Showing 1 to 11 of 191 search results for mifid.

  1. Transcript: The new prudential regime for investment firms [pdf]

    Transcripts Investment management Published: 01/12/2020 Last modified: 01/12/2020
    Transcript: The new prudential regime for investment firms
  2. Trade transparency and market liquidity data

    Data Published: 10/09/2020 Last modified: 10/09/2020
    In the FCA's 2019/2020 business plan the FCA noted that it tracked the proportions of trades carried out on venues with varying levels of trade disclosure.
  3. Potentially Anomalous Trading Ratio

    Data Published: 10/09/2020 Last modified: 10/09/2020
    The FCA committed to developing and publishing additional measures that will further illustrate the state of UK markets.
  4. Market Watch issue 64: market conduct and Brexit and MiFID II transaction reporting issues [pdf]

    Newsletters Published: 27/08/2020 Last modified: 26/08/2020
    This edition of Market Watch provides important information to help MiFID II firms prepare for the end of the transition period.
  5. CP20/14: Updating the Dual-regulated firms Remuneration Code to reflect CRD V

    Consultation papers Published: 03/08/2020 Last modified: 03/08/2020
    We set out proposals to amend our Dual-regulated firms Remuneration Code and relevant non-Handbook guidance to reflect CRD V.
  6. DP20/2: Prudential requirements for MiFID investment firms

    Discussion papers Published: 23/06/2020 Last modified: 21/08/2020
    This Discussion Paper sets out initial views as well as technical details on the Investment Firm Directive (IFD) and the Investment Firm Regulation (IFR). The Government will be introducing a framework for the new regime for UK firms. We are seeking
  7. DP20/2: A new UK prudential regime for MiFID investment firms [pdf]

    Discussion papers Published: 23/06/2020
    This discussion paper sets out the details of the EU’s new prudential regime for investment firms (IFD/IFR), and seeks feedback from stakeholders on the appropriate rules for the UK to apply in this area
  8. First supervisory notice 2020: F1 Markets Ltd [pdf]

    Supervisory notices Published: 01/06/2020
    This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing
  9. First supervisory notice 2020: Rodeler Ltd [pdf]

    Supervisory notices Published: 01/06/2020
    This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing
  10. First supervisory notice 2020: Hoch Capital Ltd [pdf]

    Supervisory notices Published: 01/06/2020
    This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing