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Showing 121 to 130 of 138 search results for MiFID II could affect.
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Primary Market Bulletin 40
In this edition we provide feedback on our consultation in PMB 34 and highlight changes to the Knowledge Base on the prospectus regime as a result of the consultation. -
Our Perimeter Report
Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products -
FCA responds to independent reviews into its regulation of London Capital & Finance and Connaught
The FCA has responded to the independent investigations of its supervision of London Capital & Finance plc (LCF) and Connaught Income Fund Series 1 and connected companies (Connaught) -
Advice firms demonstrate some good practice on due diligence but greater consistency needed
In firms where this culture is weak there could be a bias towards the status quo, with firms not questioning why they continued to recommend certain products and services. ... The FCA will publish a second consultation paper on the implementation of the -
Efficiency and effectiveness: our approach to primary markets
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at Bloomberg. -
Firms continue to fail to meet our expectations on their use of dealing commission
We summarise our findings from a review that analysed dealing commission expenditure across 31 investment managers (covering asset managers, wealth managers and host-authorised corporate director providers) between 2012 and 2015. -
Andrew Bailey speech at the Annual Public Meeting 2018
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2018 Annual Public Meeting. -
Maintaining market confidence: an update on Brexit
Speech delivered by Nausicaa Delfas, Executive Director of International at the City and Financial: 3rd UK Financial Services Brexit Summit -
Business Plan 2023/24
The FCA's Business Plan details the work it will do over the next 12 months to help deliver the commitments in its Strategy. -
Market abuse requires a dynamic response to a changing risk profile
MAR and MiFID II define what constitutes unacceptable conduct and practice, including behaviour that amounts to giving false or misleading impressions to the market. ... MiFID II has been, amongst many things, an exercise in bringing together a common