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Showing 31 to 40 of 408 search results for MiFID II Application.
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Where next for investment and asset management regulation?
Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017. -
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 -
Statement on communications in relation to PRIIPs and UCITS
Issuing limited forbearance to allow firms to provide additional disaggregated disclosure on costs and charges to support the aggregated figure. This is the result of engagement with the investment trust industry. -
MiFID Annex Form [docx]
Application for Authorisation. -
Market Data Processor (MDP) on-boarding application form [doc]
This MDP on-boarding application form is used to advise us what MiFID II data types an entity will be submitting. -
MiFID Annex for VOP Application Form [docx]
This MiFID Annex for VOP Applications can be used to provide information required by the RTS under 7(4) of MiFID II that has changed since your initial authorisation. -
2018 Disclosure Log
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 2018. -
Key requirements of firms
Firms should have prioritised these key requirements following the end of the transition period. -
Market data reporting and MDP
The Market Data Processor (MDP) system allows entities to submit and access market data. Find out more about who it applies to and how on-boarding works. -
Multilateral trading facilities and organised trading facilities
Find out what permissions you'll need to apply to the FCA for authorisation, how much you'll need to pay and what the FCA expects to see in your application.