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Showing 141 to 150 of 346 search results for Implementing MiFID II.

  1. MiFID Authorisation Form [docx]

    Forms Published: 13/01/2017 Last modified: 22/03/2022
    MiFID Authorisation Form

  2. MiFID Annex II: Notification form for the list of members of the management body [docx]

    Forms Published: 13/01/2017 Last modified: 17/03/2022
    MiFID Annex II: Notification form for the list of members of the management body form

  3. Assessing Suitability Review

    Multi-firm reviews Published: 18/05/2017 Last modified: 18/05/2017
    This report sets out the findings from our review into the market for pensions and investment advice.

  4. Minutes of the MiFID II implementation roundtable January 2016 [pdf]

    Meeting minutes Published: 08/01/2016 Last modified: 08/01/2016
    From the meeting held on 6 January 2016

  5. Minutes of the MiFID II implementation roundtable: November 2015 [pdf]

    Meeting minutes Published: 08/12/2015 Last modified: 08/12/2015
    From the meeting held on 30 November 2015

  6. MiFID ITS Annex II (List of Members of a Management Body) Form [docx]

    Forms Published: 13/01/2017 Last modified: 22/03/2022
    MiFID ITS Annex II (List of Members of a Management Body) Form.

  7. Training and competence

    Tasks for regulated firms Published: 12/05/2015 Last modified: 10/02/2023
    Our training and competence regime makes sure the financial services workforce is appropriately qualified and well regulated.

  8. Chairman’s speech

    Speeches Published: 18/07/2013 Last modified: 18/07/2013
    Speech by FCA Chairman, John Griffith-Jones, at the Annual Public Meeting, London. This is the text of the speech as drafted, which may differ from the delivered version.

  9. MiFID IT Controls Form [xlsx]

    Forms Published: 13/01/2017

  10. Price: the cornerstone of markets

    Speeches Published: 03/02/2014 Last modified: 18/01/2017
    Speech by David Lawton, Director of Markets of the FCA at the International Capital Market Association (ICMA) Capital Market Lecture Series 2014 on Monday 3 February 2014. This is the text of the speech as drafted, which may differ from the
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