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Showing 61 to 70 of 131 search results for Firms subject to the MiFID II transaction reporting.

  1. MiFID II: The future of European trading in the balance

    Speeches Published: 19/09/2014 Last modified: 01/11/2016
    Speech by David Lawton, Director of Markets, at the FCA MiFID II Conference 2014. This is the text of the speech as drafted, which may differ from the delivered version.

  2. Investment Firms Prudential Regime (IFPR)

    Firms Focus areas Published: 28/06/2021 Last modified: 10/04/2024
    The IFPR is our new prudential regime for MiFID investment firms. The regime came into force on 1 January 2022.

  3. FCA fines Merrill Lynch International £13.2 million for transaction reporting failures

    Press Releases Published: 22/04/2015 Last modified: 22/04/2015
    The FCA’s rules on transaction reporting are based on the EU Markets in Financial Instrument Directive (MiFID), November 2007. ... MiFID II will take effect from 3 January 2017 and will mean additional instruments will be transaction reported to the

  4. Information on transaction reporting under MiFIR - May 2022

    FOI Release Date of Release: 11/05/2022
    The FCA answers questions regarding transaction reporting under MiFIR.

  5. 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

  6. FCA response to ESMA's public statement on LEIs

    News stories Published: 20/12/2017 Last modified: 20/12/2017
    On 20 December, ESMA issued a public statement to support the smooth introduction of the Legal Entity Identifier (LEI) requirements for MiFID II implementation.

  7. PRIIPs Regulation

    Tasks for regulated firms Published: 03/12/2015 Last modified: 13/02/2023
    Regulations for packaged retail investment products (PRIIPs) began in January 2018. Learn more about the definitions of PRIIPs products and who this regulation affects.

  8. Brexit resources

    Focus areas Published: 09/03/2018 Last modified: 12/08/2022
    This page lists our news and statements, speeches, publications and other pages related to Brexit.

  9. UK MiFID framework notifications

    Firms Markets Markets policy Published: 13/01/2017 Last modified: 09/10/2023
    If you’re an authorised investment firm find out more about the notifications you may need to make.

  10. FCA fines Merrill Lynch £34.5 million for failing to report transactions

    Press Releases Published: 23/10/2017 Last modified: 23/10/2017
    Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and 6 February 2016.
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