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Showing 21 to 30 of 197 search results for MiFID II applies from 3 January.

  1. 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

  2. CP22/4: Quarterly Consultation Paper No. 35

    Consultation papers Published: 04/03/2022 Last modified: 25/08/2022
    Once a quarter, we consult on proposed miscellaneous amendments to our Handbook.

  3. MiFID reporting after the Brexit transition period

    Firms Focus areas Markets Markets policy Published: 04/12/2020 Last modified: 11/01/2023
    Read this page if your firm is migrating to FCA FIRDS or FCA FITRS after 31 December 2020. You will find information here about what you need to do. 

  4. FCA publishes terms of reference for its investment and corporate banking market study

    Press Releases Published: 22/05/2015 Last modified: 04/11/2019
    The Financial Conduct Authority (FCA) has set out the issues it will focus on as part of its market study into competition in investment and corporate banking.

  5. 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.

  6. 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.

  7. Assessing the value of financial advice

    Speeches Published: 04/12/2017 Last modified: 11/04/2018
    Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to The Personal Investment Management and Financial Advice Association (PIMFA) in London.

  8. Complaints data items: FAQs

    Registers and systems Published: 10/05/2016 Last modified: 13/06/2022
    Complaints data items: FAQs

  9. 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
    On 28 September 2017, ESMA issued a public statement regarding the joint work plan of ESMA and NCAs for opinions on MiFID II pre-trade transparency waivers. ... The FCA’s work plan as detailed can also be found on our MiFID II webpage.

  10. Automated investment services - our expectations

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