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Showing 101 to 110 of 135 search results for MiFID II product governance.

  1. Recovery plans – initial observations

    News stories Published: 19/05/2016 Last modified: 19/05/2016
    it to take effect, and (ii) doubts about the level of additional capital/liquidity that would be generated. ... interconnectedness). The majority of plans included a good summary of the firm’s general governance arrangements.

  2. Our Perimeter Report

    Annual reports Published: 20/07/2022 Last modified: 05/04/2024
    Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products

  3. Personal investment firms that give bad advice to hold capital for redress

    Press Releases Published: 29/11/2023 Last modified: 30/11/2023
    Our proposals to require personal investment firms to set aside capital so that they can cover compensation costs.

  4. Implementing MiFID II – multi-firm review of research unbundling reforms

    Multi-firm reviews Published: 19/09/2019 Last modified: 19/09/2019
    Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately. These are the findings of our review on how

  5. Maintaining market confidence: an update on Brexit

    Speeches Published: 05/11/2018 Last modified: 05/11/2018
    Speech delivered by Nausicaa Delfas, Executive Director of International at the City and Financial: 3rd UK Financial Services Brexit Summit

  6. Andrew Bailey speech at the Annual Public Meeting 2018

    Speeches Published: 11/09/2018 Last modified: 11/09/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2018 Annual Public Meeting.

  7. FCA fines Merrill Lynch International £13.2 million for transaction reporting failures

    Press Releases Published: 22/04/2015 Last modified: 22/04/2015
    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

  8. Effective compliance with the Market Abuse Regulation – a state of mind

    Speeches Published: 14/11/2017 Last modified: 15/11/2017
    One of the major evolutionary steps directly in our sights is the move from ‘MiFID I’ to ‘MiFID II/MiFIR’ data – a step change in both the volume and quality of ... It is worth noting that the introduction of MiFID II also introduces the second

  9. Preparing for Brexit in financial services: the state of play

    Speeches Published: 16/09/2019 Last modified: 16/09/2019
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at Bloomberg - London

  10. TR15/12: Wealth management firms and private banks: suitability of investment portfolios

    Thematic reviews Published: 09/12/2015 Last modified: 13/10/2016
    firms need to ensure that their governance, monitoring and assessment arrangements are sufficient to meet their regulatory responsibilities in relation to suitability. ... MiFID II will be coming into force in the UK and some of its provisions will apply