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Showing 111 to 120 of 451 search results for MiFID II applies.
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Call for Input: PRIIPs Regulation – initial experiences with the new requirements
In this Feedback Statement, we summarise responses to our Call for Input on the Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation. We also outline our next steps. -
Payment for order flow multi-firm review findings
This final report on our recent supervisory work on conflicts of interest and payment for order flow (PFOF) follows the preliminary findings published in Market Watch 56 in September 2018. -
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 -
Financial Conduct Authority outlines how it would use the temporary transitional power
The FCA has set out how it would use the temporary transitional power in the event the UK leaves the EU without an agreement. -
TR15/12: Wealth management firms and private banks: suitability of investment portfolios
MiFID II will be coming into force in the UK and some of its provisions will apply to firms providing portfolio management services to retail customers. -
Review of host Authorised Fund Management firms
We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed. -
FCA statement on the Work Plan for ESMA opinions on pre-trade transparency waivers and commodity position limits
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. -
Position limits for commodity derivative contracts
We are required to set limits on the maximum size of positions which a person can hold in commodity derivatives. Here we set out these position limits. -
PS17/27: Insurance Distribution Directive implementation – Feedback to CP17/23 and near-final rules
This is our second Policy Statement setting out near-final rules for the implementation of the Insurance Distribution Directive (IDD). -
PS18/1: Insurance Distribution Directive implementation - Feedback and near-final rules to CP17/33 and other IDD consultations
This is our third Policy Statement setting out near-final rules for the implementation of the Insurance Distribution Directive (IDD).