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Showing 81 to 90 of 197 search results for MiFID II applies from 3 January.

81. DP15/3: Developing our approach to implementing MiFID II conduct of business and organisational requirements

    Discussion papers Published: 26/03/2015 Last modified: 03/11/2016
    DP15/3: Developing our approach to implementing MiFID II conduct of business and organisational requirements. ... For more information see a timeline of MiFID II implementation and read our pages on MiFID II.

82. Market data reporting and MDP

    Markets Published: 04/09/2016 Last modified: 29/04/2024
    The Market Data Processor (MDP) system allows entities to submit and access market data. Find out more about who it applies to and how on-boarding works.

83. UK MiFID framework notifications

    Firms Markets Markets policy Published: 13/01/2017 Last modified: 09/10/2023
    If you’re an authorised investment firm find out more about the notifications you may need to make.

84. UK recovery and resolution

    Firms Published: 24/05/2016 Last modified: 10/02/2023
    Read about the recovery and resolution regime for certain firms that we prudentially regulate, including which firms are affected and what you need to do.

85. Information on fines and active or closed investigations since January 2018 - April 2020

    FOI Release Date of Release: 23/04/2020
    The FCA provides information on any fines levied and the number of active or closed investigations since January 2018 for breaching requirements under Directive 2014/65/EU (MiFID II) and Regulation (EU) No 600/2014 (MiFIR) to report RTS 24 order

86. Maturing dormant Child Trust Fund accounts

    Investment managers Published: 09/11/2020 Last modified: 09/11/2020
    Information for Child Trust Fund (CTF) providers on the treatment of dormant accounts at maturity, including legislative changes and how to apply for a modification by consent if a client can’t be contacted.

87. Transaction reporting

    Markets Transaction reporting Published: 29/05/2016 Last modified: 12/01/2024
    We use transaction reports to detect and investigate suspected market abuse. Find out more about the submission of transaction reports and the data they should contain.

88. Trade transparency and market liquidity data 2019/20

    Data Published: 10/09/2020 Last modified: 11/06/2021
    In the FCA's 2019/2020 business plan the FCA noted that it tracked the proportions of trades carried out on venues with varying levels of trade disclosure.

89. Outsourcing and operational resilience

    Firms Focus areas Published: 09/01/2020 Last modified: 02/05/2024
    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.

90. AIFMD updates

    Focus areas Published: 08/06/2016 Last modified: 05/07/2023
    There are several updates the FCA has published on Alternative Investment Fund Managers Regulations. Find out about the FCA's updated guides and forms.