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Showing 11 to 20 of 106 search results for MiFID II applies from 3 January 2018.

  1. FCA publishes near final rules on MiFID II and encourages firms to submit applications for MiFID II authorisation

    Press Releases Published: 31/03/2017 Last modified: 31/03/2017
    The Financial Conduct Authority (FCA) has today published near final rules on the implementation of the Markets in Financial Instruments Directive (MiFID) II. These include changes to the trading of financial instruments including issues affecting

  2. MiFID II costs and charges disclosures review findings

    Multi-firm reviews Published: 28/02/2019 Last modified: 28/02/2019
    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

  3. FCA publishes position limits for commodity derivative contracts

    Statements Published: 26/10/2017 Last modified: 26/10/2017
    The Financial Conduct Authority (FCA) has today published position limits on certain commodity derivative contracts which are traded on UK trading venues.

  4. Automated advice: existing rules and guidance

    Firms Published: 27/03/2022 Last modified: 10/02/2023
    Before applying for Innovation Pathways, read our existing rules and guidance to check whether your question is covered.

  5. PRIIPs Regulation

    Tasks for regulated firms Published: 03/12/2015 Last modified: 13/02/2023
    Regulations for packaged retail investment products (PRIIPs) began in January 2018. Learn more about the definitions of PRIIPs products and who this regulation affects.

  6. FCA statement on the Work Plan for ESMA opinions on pre-trade transparency waivers and commodity position limits

    Statements Published: 28/09/2017 Last modified: 28/09/2017
    Any waiver we communicate will take effect from 3 January 2018, and applicants should prepare on that basis. ... The FCA’s work plan as detailed can also be found on our MiFID II webpage.

  7. MiFID II: product governance review

    Multi-firm reviews Published: 26/02/2021 Last modified: 15/04/2021
    In this MiFID II review we looked at product governance in a sample of 8 asset management firms.

  8. Review on disclosure of costs by asset managers

    Multi-firm reviews Published: 28/02/2019 Last modified: 28/02/2019
    We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are.

  9. Implementing MiFID II – multi-firm review of research unbundling reforms

    Multi-firm reviews Published: 19/09/2019 Last modified: 19/09/2019
    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

  10. Automated investment services - our expectations

    Multi-firm reviews Published: 21/05/2018 Last modified: 07/05/2024
    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