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Showing 101 to 110 of 197 search results for MiFID II applies from 3 January.

  1. DRSP and MDP fees

    Firms Markets Markets policy Published: 03/01/2018 Last modified: 15/12/2022
    There are different types of Data Reporting Services Providers (DRSPs) and Market Data Processor (MDP) fees. Find out more about each fee.

  2. Statement on communications in relation to PRIIPs and UCITS

    Statements Published: 30/11/2023 Last modified: 30/11/2023
    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.

  3. Inducements and conflicts of interest thematic review: key findings

    Thematic reviews Published: 18/04/2016 Last modified: 18/04/2016
    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

  4. MIFIDPRU Remuneration Code (SYSC 19G)

    Tasks for firms Published: 13/01/2022 Last modified: 09/01/2024
    The FCA provides information on how MIFIDPRU Remuneration Code (SYSC 19G) applies to MIFIDPRU Investment firms.

  5. Firms need to register for Connect to update their firm details

    News stories Published: 13/09/2019 Last modified: 13/09/2019
    Firms need to register for our online Connect platform. You will need it to send us your firm details - also known as a mandatory annual update. This will be a requirement from January 2020, so we suggest you register now in preparation.

  6. FCA fines UBS AG £27.6 million for transaction reporting failures

    Press Releases Published: 19/03/2019 Last modified: 19/03/2019
    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.

  7. Effective global regulation in capital markets

    Speeches Published: 05/12/2017 Last modified: 11/04/2018
    Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London

  8. PS21/6: Implementation of Investment Firms Prudential Regime

    Consultations Policy statements Published: 14/12/2020 Last modified: 29/06/2021
    We are consulting on our first phase of proposed rules to introduce the UK Investment Firm Prudential Regime (IFPR). IFPR is a new prudential regime for UK firms authorised under the Markets in Financial Instruments Directive (MiFID).

  9. Supervision of UK regulated covered bonds

    Published: 13/05/2016 Last modified: 23/06/2023
    Find out about our role supervising regulated covered bond programmes and regulated covered bonds, key features of the regime and stress testing.

  10. Electronification of trading

    Speeches Published: 06/04/2016 Last modified: 06/04/2016
    Speech by Edwin Schooling Latter, Head of Markets Policy, FCA, delivered at the FIX 2016 EMEA Trading Conference. This is the text of the speech as drafted, which may differ from the delivered version.
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