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Showing 41 to 50 of 52 search results for MiFID II notice of intention.
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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 -
2017 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 2017. -
Investor engagement in a changing regulatory landscape
Of course, the debate in relation to the connection between research and dealing commission has now very much moved to the European stage, due to the development of proposals under MIFID ... II. ESMA provided its final advice to the European Commission -
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. -
2019 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 2019. -
CFD firms fail to meet our expectations on appropriateness assessments
Findings from our review of appropriateness assessments for sales of contracts for difference (CFD) products, through a sample of 23 firms. -
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. -
CP15/34: Regulatory fees and levies: policy proposals for 2016/17
Depending on the proposed policy change, we would expect to provide feedback on the responses received to this consultation in the following February or March Handbook Notice. ... recover the data reporting costs associated with market monitoring under -
Consumer investments data review April 2020 - March 2021
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2020 and 31 March 2021. -
Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR).