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Showing 11 to 20 of 42 search results for Implementing MiFID II - multi-firm review.
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FCA publishes final report on IFPR implementation observations
Final report on our multi-firm review into firms’ progress in implementing the ICARA process and reporting requirements under the IFPR. -
Independence, confidence and fairness
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at Bloomberg, in the City of London, on 4 February 2016, London. This is the text of the speech as drafted, which may differ from the delivered version. -
MiFID II: product governance review
In this MiFID II review we looked at product governance in a sample of 8 asset management firms. -
Review on disclosure of costs by asset managers
We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are. -
Payment for order flow multi-firm review findings
This final report on our recent supervisory work on conflicts of interest and payment for order flow (PFOF) follows the preliminary findings published in Market Watch 56 in September 2018. -
Market Watch 72
In this Market Watch, we outline our recent findings on the quality of service provided by Approved Publication Arrangements (APAs) and Approved Reporting Mechanisms (ARMs), collectively known as Data Reporting Services Providers (DRSPs), to clients -
Inducements and conflicts of interest thematic review: key findings
We are not publishing a thematic report, as this work will be taken into account in our planned MiFID II consultation paper. ... However, given the recent European Parliament confirmation of the delay in implementing MiFID II to 3 January 2018, we are -
Investor protection in the UK: New tools, new challenges
Speech by Maggie Craig, Acting Head of Savings and Investments, at the FCA MiFID II Conference 2014. This is the text of the speech as drafted, which may differ from the delivered version. -
2018 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2018. -
Investment managers still failing to ensure effective oversight of best execution
We outline findings from supervisory work looking at how investment managers deliver best execution for their clients.