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Showing 41 to 50 of 135 search results for MiFID II product governance.
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Automated investment services - our expectations
The FCA carried out two reviews, the first looking at firms offering automated online discretionary investment management and the second looked at firms providing retail investment advice exclusively through automated channels. The FCA reports back -
MiFID II and the fight against financial crime
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime. -
Assessing Suitability Review
This report sets out the findings from our review into the market for pensions and investment advice. -
Apply to become a consumer investments firm
Find out how to apply to the FCA for authorisation if you're a consumer investments firm, such as a financial adviser or investment platform. -
FCA to ask firms for their views on MiFID II implementation
The discussion paper requests views on the following topics:. The extent to which the FCA should apply MiFID II provisions to insurance-based investment products and pensions. ... How MiFID II’s requirements on costs and charges disclosure could be -
Multilateral trading facilities and organised trading facilities
Find out what permissions you'll need to apply to the FCA for authorisation, how much you'll need to pay and what the FCA expects to see in your application. -
Training and competence
Our training and competence regime makes sure the financial services workforce is appropriately qualified and well regulated. -
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. -
Wholesale markets firm applicants
If you're a wholesale investment firm, you have to be authorised by us. Learn how to prepare your application and what you need to read first. -
Coronavirus (Covid-19): Information for firms
Our expectations for firms during the coronavirus pandemic, and the measures we’ve put in place to make sure customers are protected.