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Showing 81 to 90 of 408 search results for MiFID II Application.
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UK MiFIR data reporting and LIBOR transition
We aim to clarify expectations for investment firms and trading venues submitting UK MiFIR transaction reports and instrument reference data in relation to LIBOR transition -
Automated advice: existing rules and guidance
Before applying for Innovation Pathways, read our existing rules and guidance to check whether your question is covered. -
DRSP authorisation and supervision forms
We have a number of MAR 9 forms to help your application process. 'Find out about the different data reporting services providers (DRSP) authorisation and supervision documents you may need. -
Inducements and conflicts of interest thematic review: key findings
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 -
FCA fines UBS AG £27.6 million for transaction reporting failures
UBS AG (UBS) has been fined £27,599,400 by the Financial Conduct Authority (FCA) for failings relating to 135.8 million transaction reports between November 2007 and May 2017. -
PS17/21: Insurance Distribution Directive implementation – Feedback to CP17/7 and near-final rules
This is our first Policy Statement setting out our near final rules for our implementation of the Insurance Distribution Directive (IDD). -
Information on transaction reporting under MiFIR - May 2022
The FCA answers questions regarding transaction reporting under MiFIR. -
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 -
How regulation can prepare the ground for economic growth
Speech by Sarah Pritchard, Executive Director, Markets at the City and Financial Global: The Future of UK Financial Services Regulation Summit. -
Regulating financial innovation – going behind the scenes
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Cambridge Centre for Alternative Finance annual conference, Judge Business School.