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Showing 51 to 60 of 408 search results for MiFID II Application.
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2015 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 2015. -
List of EEA market operators applying to become a recognised overseas investment exchange (ROIE)
In September 2018, we published a direction (PDF) that clarified how market operators (as defined by MiFID II) from the European Economic Area (EEA) can apply to become a recognised overseas investment exchange (ROIE). This would enable EEA market -
Automated investment services - our expectations
The FCA carried out two reviews, the first looking at firms offering automated online discretionary investment management and the second looked at firms providing retail investment advice exclusively through automated channels. The FCA reports back -
Commodity derivatives: position limits, reporting regime and commitment of trader reports
This regime for commodity derivatives aims to prevent market abuse. Read more about position limits, when to notify the FCA and submitting reports. -
Market Watch 72
In this Market Watch, we outline our recent findings on the quality of service provided by Approved Publication Arrangements (APAs) and Approved Reporting Mechanisms (ARMs), collectively known as Data Reporting Services Providers (DRSPs), to clients -
Transparency waivers and deferrals
Market operators and investment firms operating a UK trading venue that would like a pre-trade transparency waiver must apply to us in advance. Find out how to apply for waivers and deferrals. -
PRIIPs Regulation
Regulations for packaged retail investment products (PRIIPs) began in January 2018. Learn more about the definitions of PRIIPs products and who this regulation affects. -
Outsourcing and operational resilience
The FCA explains the implications for operational resilience for regulated firms using outsourcing and other third party service providers, and what it expects from them. -
Instrument Reference Data
Trading venues and systematic internalisers (SIs) are responsible for providing us with instrument reference data. -
DRSP and MDP fees
There are different types of Data Reporting Services Providers (DRSPs) and Market Data Processor (MDP) fees. Find out more about each fee.