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Showing 51 to 60 of 121 search results for Investor protection under MiFID II.

  1. 2013 Disclosure Log

    Last modified: 22/11/2021
    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 2013. 

  2. Contract for differences

    Tasks for firms Published: 09/01/2017 Last modified: 21/04/2023
    Find out about the FCA's expectations of providers and brokers offering retail consumers contract for differences (CFD) products, which include spread betting and rolling spot foreign exchange (FX).

  3. Complaints data items: FAQs

    Registers and systems Published: 10/05/2016 Last modified: 13/06/2022
    Complaints data items: FAQs

  4. 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.

  5. Investor engagement in a changing regulatory landscape

    Speeches Published: 13/07/2015 Last modified: 14/07/2015
    Of course, the debate in relation to the connection between research and dealing commission has now very much moved to the European stage, due to the development of proposals under MIFID ... II. ESMA provided its final advice to the European Commission

  6. Where next for UK Market Structure

    Speeches Published: 03/03/2022 Last modified: 03/03/2022
    Speech by Edwin Schooling Latter, FCA Director of Markets and Wholesale Policy and Wholesale Supervision, delivered at Rosenblatt's European Market Structure conference.

  7. FCA consults on aspects of the Markets in Financial Instruments Directive II implementation

    Press Releases Published: 15/12/2015 Last modified: 15/12/2015
    The Financial Conduct Authority (FCA) has today published its first consultation paper on the implementation of the new European Markets in Financial Instruments Directive II (MiFID II) in the UK. ... MiFID was originally introduced in 2007 and the

  8. From intellectual certainty to debate

    Speeches Published: 25/02/2015 Last modified: 26/02/2015
    And, in core policy areas that set the framework for secondary market trading, like MiFID II, draft technical standards have been published and are now open for consultation. ... Just two on liquidity. And this, effectively, is the subtext to MiFID II

  9. FS15/1: Discussion on the use of dealing commission

    Feedback statements Published: 19/02/2015 Last modified: 23/11/2021
    This paper reports on the main issues arising from Discussion Paper DP14/3: Discussion on the use of dealing commission regime, and sets out next steps.

  10. Towards more effective stewardship

    Speeches Published: 03/04/2019 Last modified: 04/03/2022
    Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at the LSE in London.