Search results

Showing 101 to 110 of 346 search results for Implementing MiFID II.

101. MiFID II Systematic Internaliser and Electronic Trading Notification Guide [pdf]

     Systems information Published: 11/09/2017
     This guide is designed to assist with the submission of the Systematic Internaliser Notification and the Electronic Trading Notification form.

102. MiFID II passporting application form: Tied agent notification [pdf]

     Forms Published: 17/07/2017
     MiFID II notice of intention to use a tied agent established in another EEA state or amend EEA tied agent details.

103. Assessing the value of financial advice

     Speeches Published: 04/12/2017 Last modified: 11/04/2018
     Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to The Personal Investment Management and Financial Advice Association (PIMFA) in London.

104. CP17/19: Markets in Financial Instruments Directive II Implementation – Consultation Paper VI

     Consultation papers Published: 03/07/2017 Last modified: 03/07/2017
     We are consulting on our sixth set of implementation proposals for MiFID II and seeking views on the proposed changes to the FCA Handbook.

105. CP16/43: Markets in Financial Instruments Directive II implementation – Consultation Paper IV

     Consultation papers Published: 16/12/2016 Last modified: 20/02/2017
     We are consulting on our fourth set of implementation proposals for MiFID II and seeking views on our proposed changes to the FCA Handbook.

106. Minutes of the meeting of the MiFID II implementation roundtable [pdf]

     Meeting minutes Published: 04/11/2015 Last modified: 04/11/2015
     From the meeting held on 22 October 2015.

107. Where next for investment and asset management regulation?

     Speeches Published: 28/09/2017 Last modified: 02/10/2017
     Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.

108. FCA Connect

     Registers and systems Published: 03/05/2016 Last modified: 09/02/2023
     FCA Connect is our user management system for you to submit applications and notifications. Use it to notify us about approved persons or suspicious transactions or apply for MiFID II.

109. FCA publishes near final rules on MiFID II and encourages firms to submit applications for MiFID II authorisation

     Press Releases Published: 31/03/2017 Last modified: 31/03/2017
     The Financial Conduct Authority (FCA) has today published near final rules on the implementation of the Markets in Financial Instruments Directive (MiFID) II. These include changes to the trading of financial instruments including issues affecting

110. Effective global regulation in capital markets

     Speeches Published: 05/12/2017 Last modified: 11/04/2018
     Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London