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Showing 1 to 10 of 42 search results for Implementing MiFID II - multi-firm review.
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Implementing MiFID II – multi-firm review of research unbundling reforms
Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately. These are the findings of our review on how -
FCA finds MiFID II research unbundling rules working well for investors
The Financial Conduct Authority (FCA) has today published multi-firm review findings indicating the Markets in Financial Instruments Directive’s (MiFID II) research unbundling rules have improved asset managers’ accountability over costs, saving -
Implementing Technology Change
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 -
Firms continue to fail to meet our expectations on their use of dealing commission
We summarise our findings from a review that analysed dealing commission expenditure across 31 investment managers (covering asset managers, wealth managers and host-authorised corporate director providers) between 2012 and 2015. -
MiFID II costs and charges disclosures review findings
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 -
FCA calls on firms to act following review of costs and charges disclosure in the investment sector
The Financial Conduct Authority (FCA) has today published the key findings of supervisory work to assess the effectiveness of disclosure by asset managers and intermediaries, such as wealth managers, to their retail customers. This work was prompted -
Assessing Suitability Review
This report sets out the findings from our review into the market for pensions and investment advice. -
Investor protection under MiFID II
Speech by David Geale, Director of Policy, FCA, delivered at the FCA MiFID II Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Statement on MiFID II inducements and research
FCA welcomes the US Securities and Exchange Commission’s extension of no-action relief relating to MiFID II inducements and research provisions -
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.