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Showing 21 to 30 of 138 search results for MiFID II could affect.
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The vital relationship between the regulator and the advisory industry
Speech by John Griffith-Jones, Chairman of the FCA, at The Association of Professional Financial Advisers (APFA) Annual Gala Dinner delivered at Banking Hall, London. This is the text of the speech as drafted, which may differ from the delivered -
Partly contested cases, the pipeline and AML investigations
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime. -
UK EMIR news
Read our archive of news relating to EMIR dating back to August 2013. -
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 -
The FCA's response to COVID-19 and expectations for 2020
Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at PIMFA’s Virtual Festival. -
Free trade in financial services and global regulatory standards: friends not rivals
Speech by Andrew Bailey, Chief Executive of the FCA, at the Economic Council Financial Markets Policy Conference. -
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. -
MiFID II conference
MiFID II conference. News stories First published:. 19/09/2014. Last updated: 09/12/2016. ... The new measures in MiFID II will be implemented on 3 January 2017 and will affect trading venues, investment firms and investors. -
The basic advice regime under MiFID II & IDD
The FCA explains the update that includes important information for firms selling stakeholder products using basic advice and the impact of MiFID II and IDD. -
MiFID II: retail investment advice firms
A summary of some of the key changes that impact retail investment advice firms, effective from 3 January 2018.