Search results
Showing 21 to 30 of 452 search results for MiFID II applies.
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MiFID II: product governance review
In this MiFID II review we looked at product governance in a sample of 8 asset management firms. -
Implementing MiFID II – multi-firm review of research unbundling reforms
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 -
Assessing the value of financial advice
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. -
Statement on communications in relation to PRIIPs and UCITS
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. -
Trading venues and systematic internalisers – changes in security statuses
Trading venues and systematic internalisers may have to notify the FCA when there are changes in the status of the securities they trade. -
Key requirements of firms
Firms should have prioritised these key requirements following the end of the transition period. -
UK EMIR news
Read our archive of news relating to EMIR dating back to August 2013. -
Where next for investment and asset management regulation?
Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017. -
FCA Connect
FCA Connect is our user management system for you to submit applications and notifications. Use it to notify us about approved persons or suspicious transactions or apply for MiFID II. -
Four building blocks of efficient capital markets
Speech by David Lawton, Director of Markets, FSA at the Practising Law Institute Conference