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Showing 51 to 60 of 135 search results for MiFID II product governance.

  1. PRIIPs Regulation

    Tasks for regulated firms Published: 03/12/2015 Last modified: 13/02/2023
    Regulations for packaged retail investment products (PRIIPs) began in January 2018. Learn more about the definitions of PRIIPs products and who this regulation affects.

  2. Electronification of trading

    Speeches Published: 06/04/2016 Last modified: 06/04/2016
    Speech by Edwin Schooling Latter, Head of Markets Policy, FCA, delivered at the FIX 2016 EMEA Trading Conference. This is the text of the speech as drafted, which may differ from the delivered version.

  3. Investment managers

    Firm authorisation Published: 05/07/2023 Last modified: 19/12/2023
    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.

  4. Laying myths to rest

    Speeches Published: 17/10/2013 Last modified: 17/10/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at the British Bankers’ Association Annual International Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  5. Outsourcing and operational resilience

    Firms Focus areas Published: 09/01/2020 Last modified: 02/05/2024
    The FCA explains the implications for operational resilience for regulated firms using outsourcing and other third party service providers, and what it expects from them.

  6. Complaints data items: FAQs

    Registers and systems Published: 10/05/2016 Last modified: 13/06/2022
    Complaints data items: FAQs

  7. Commodity derivatives: position limits, reporting regime and commitment of trader reports

    Firms Markets Markets policy Published: 22/05/2016 Last modified: 11/09/2023
    This regime for commodity derivatives aims to prevent market abuse. Read more about position limits, when to notify the FCA and submitting reports.

  8. Statement on communications in relation to PRIIPs and UCITS

    Statements Published: 30/11/2023 Last modified: 30/11/2023
    Issuing limited forbearance to allow firms to provide additional disaggregated disclosure on costs and charges to support the aggregated figure. This is the result of engagement with the investment trust industry.

  9. Abnormal Trading Volume Ratio

    Data Published: 09/07/2019 Last modified: 12/10/2020
    In the FCA's 2018/19 Annual Report it published a new measure of market cleanliness – the Abnormal Trading Volume ratio (ATV).

  10. The New Market Infrastructure

    Speeches Published: 16/05/2014 Last modified: 29/11/2016
    Keynote speech by David Lawton, Director of Markets, at the Economist Bellwether Conference. This is the text of the speech as drafted, which may differ from the delivered version.