Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 31 to 40 of 347 search results for Implementing MiFID II.

  1. Inducements and conflicts of interest thematic review: key findings

    Thematic reviews Published: 18/04/2016 Last modified: 18/04/2016
    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

  2. Market Watch 70

    Newsletters Published: 03/10/2022 Last modified: 03/10/2022
    In this Market Watch, we outline recent observations on the transaction reporting and instrument reference data regimes. These will be of interest to investment firms, credit institutions, trading venues, systematic internalisers, and approved

  3. Modelling integrity through culture

    Speeches Published: 19/11/2013 Last modified: 19/11/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

  4. Asset management: A regulatory perspective

    Speeches Published: 26/04/2018 Last modified: 26/04/2018
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at London Business School Annual Asset Management Conference.

  5. PS16/13: Implementation of the Market Abuse Regulation

    Policy statements Published: 28/04/2016 Last modified: 13/10/2016
    In this Policy Statement we report on the main issues arising from Consultation Paper 15/35: Policy proposals and Handbook changes related to the implementation of the Market Abuse Regulation (2014/596/EU) – and Consultation Paper 15/38:

  6. Asset management market study

    Market studies Published: 18/11/2015 Last modified: 24/09/2018
    We have published the final findings of our asset management market study. As part of this, we set out a package of remedies to address the concerns identified.

  7. Andrew Bailey speech at the Annual Public Meeting 2018

    Speeches Published: 11/09/2018 Last modified: 11/09/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2018 Annual Public Meeting.

  8. Preparing for Brexit in financial services: the state of play

    Speeches Published: 16/09/2019 Last modified: 16/09/2019
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at Bloomberg - London

  9. The vital relationship between the regulator and the advisory industry

    Speeches Published: 18/11/2014 Last modified: 20/11/2014
    Speech by John Griffith-Jones, Chairman of the FCA, at The Association of Professional Financial Advisers (APFA) Annual Gala Dinner delivered at Banking Hall, London. This is the text of the speech as drafted, which may differ from the delivered

  10. Implementing Technology Change

    Firms Multi-firm reviews Published: 05/02/2021 Last modified: 05/02/2021
    This review sets out the findings from our cross-Financial Services change management review which looked at how financial firms manage technology change, the impact of change failures and the practices utilised within the industry to help reduce
Related topics