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Showing 31 to 40 of 52 search results for MiFID II notice of intention.
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Information on open FCA enforcement investigations - December 2020
The FCA provides a breakdown by category of all open FCA investigations as at the 23 November 2020. -
FCA fines Goldman Sachs International £34.3 million for transaction reporting failures
Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and timely reporting relating to 220.2 million transaction reports between November 2007 and March 2017. -
2018 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2018. -
Update of position limits for certain commodity derivative contracts
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). -
FCA fines Merrill Lynch International £13.2 million for transaction reporting failures
MiFID II will take effect from 3 January 2017 and will mean additional instruments will be transaction reported to the FCA and other competent authorities. ... MiFID II has been comprehensively revised to improve the functioning of financial markets in -
CP20/4: Quarterly Consultation Paper No 27
Once a quarter, we consult on proposed miscellaneous amendments to our Handbook. These tend to be minor changes but we still want to get your feedback on our proposals. -
FCA statement on the Work Plan for ESMA opinions on pre-trade transparency waivers and commodity position limits
On 28 September 2017, ESMA issued a public statement regarding the joint work plan of ESMA and NCAs for opinions on MiFID II pre-trade transparency waivers. ... The FCA’s work plan as detailed can also be found on our MiFID II webpage. -
FCA publishes terms of reference for asset management market study
The FCA announced its intention to undertake a market study into asset management in its 2015/16 business plan. ... MIFID II comes into force in the UK on 3 January 2017 and some of its provisions will apply to investment firms in the asset management -
Personal data and authorisation
How and why the FCA uses personal data that is collected via forms on its online portals: Connect, RegData and Online Invoicing. -
Asset management market study
We have published the final findings of our asset management market study. As part of this, we set out a package of remedies to address the concerns identified.