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Showing 91 to 100 of 451 search results for MiFID II applies.

  1. The future of financial services regulation in the UK

    Speeches Published: 29/10/2019 Last modified: 29/10/2019
    Speech delivered by Nausicaa Delfas, Executive Director of International, at the UK Financial Services Industry Beyond Brexit Summit, London.

  2. 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.

  3. PS16/13: Implementation of the Market Abuse Regulation

    Policy statements Published: 28/04/2016 Last modified: 13/10/2016
    In this Policy Statement we report on the main issues arising from Consultation Paper 15/35: Policy proposals and Handbook changes related to the implementation of the Market Abuse Regulation (2014/596/EU) – and Consultation Paper 15/38:

  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. PS17/21: Insurance Distribution Directive implementation – Feedback to CP17/7 and near-final rules

    Policy statements Published: 25/09/2017 Last modified: 01/06/2018
    This is our first Policy Statement setting out our near final rules for our implementation of the Insurance Distribution Directive (IDD).

  6. 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. 

  7. Rules that apply to firms in SRO and fund operators in the TMPR

    Firms Focus areas Published: 19/08/2020 Last modified: 02/01/2024
    We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR).

  8. The FCA sees improvements in suitability at wealth managers, but concerns remain

    Press Releases Published: 09/12/2015 Last modified: 09/12/2015
    The FCA encourages all firms providing discretionary and advisory portfolio management services to retail customers to review its findings, consider whether any of the issues identified apply to their own businesses, ... MiFID II will be coming into

  9. Updates to the FCA’s directions under the Temporary Transitional Power

    Press Releases Published: 26/09/2019 Last modified: 26/09/2019
    Today, the Financial Conduct Authority (FCA) has updated and published draft directions under its Temporary Transitional Power (TTP). The TTP gives the FCA flexibility in applying post-Brexit requirements, allowing firms to transition to a new UK

  10. Preparing for Brexit in financial services: the state of play

    Speeches Published: 16/09/2019 Last modified: 16/09/2019
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at Bloomberg - London
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