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Showing 61 to 70 of 138 search results for MiFID II could affect.

  1. Remuneration and performance management of sales staff (SYSC 19F)

    Tasks for regulated firms Published: 23/05/2018 Last modified: 10/02/2023
    FCA provides rules on staff incentives and the remuneration of sales staff and advisers.

  2. PS21/20: Changes to UK MiFID’s conduct and organisational requirements

    Policy statements Published: 30/11/2021 Last modified: 30/11/2021
    We set out our final policy position and rules on changes to the research rules and removal of best execution reporting in RTS 27 and RTS 28 following feedback to CP21/9.

  3. Effective global regulation in capital markets

    Speeches Published: 05/12/2017 Last modified: 11/04/2018
    Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London

  4. Expectations of firms selling client banks

    Firms Published: 19/12/2023 Last modified: 19/12/2023
    In the FCA's view, the client bank is the firm’s asset. It will act where these lists are being sold with redress liabilities.

  5. Looking ahead to 2014

    Speeches Published: 09/12/2013 Last modified: 09/12/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at the ICI Global Trading and Market Structure Conference. This is the text of the speech as drafted, which may differ from the delivered version.

  6. Training and competence

    Tasks for regulated firms Published: 12/05/2015 Last modified: 10/02/2023
    Our training and competence regime makes sure the financial services workforce is appropriately qualified and well regulated.

  7. Asset management: A regulatory perspective

    Speeches Published: 26/04/2018 Last modified: 26/04/2018
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at London Business School Annual Asset Management Conference.

  8. Update of position limits for certain commodity derivative contracts

    News stories Published: 05/05/2020 Last modified: 05/05/2020
    The FCA has published updated position limits for certain commodity derivative contracts traded on UK trading venues. The limits have been established under the Markets in Financial Instruments Regulations 2017 (MIFI Regs).

  9. Required permissions for asset management firms

    Published: 30/10/2018 Last modified: 05/07/2023
    If you're applying to be authorised as a manager of investments, AIFs or UK UCITS, or to distribute funds, find out which permissions to apply for.

  10. Key requirements of firms

    Firms Published: 30/09/2020 Last modified: 31/03/2022
    Firms should have prioritised these key requirements following the end of the transition period.