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Showing 81 to 90 of 135 search results for MiFID II product governance.
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Inducements and conflicts of interest thematic review: key findings
We are not publishing a thematic report, as this work will be taken into account in our planned MiFID II consultation paper. ... However, given the recent European Parliament confirmation of the delay in implementing MiFID II to 3 January 2018, we are -
UK EMIR notifications and exemptions
Notifications and applications under UK European Market Infrastructure Regulation (UK EMIR) fall into certain categories. Learn more about these notifications, applications and relevant technical standards. -
PS18/10: Retiring FG12/15 and FG14/1
This Policy Statement outlines the response to our consultation launched in PS17/25 on the retirement of guidance FG12/15 and FG14/1, and confirms that both FG12/15 and FG14/1 have been retired. -
Brexit: information for retail investments firms in the UK
If you have customers based in the EEA, find out what actions we expect you to have taken now the transition period is over. -
Update of position limits for certain commodity derivative contracts
The Financial Conduct Authority (FCA) has today published updated position limits for certain commodity derivative contracts traded on ICE Futures Europe. The limits have been established under the Markets in Financial Instruments Regulations 2017 -
FCA fines UBS AG £27.6 million for transaction reporting failures
UBS AG (UBS) has been fined £27,599,400 by the Financial Conduct Authority (FCA) for failings relating to 135.8 million transaction reports between November 2007 and May 2017. -
Regulatory Developments and the Changing Market Structure
Speech by David Lawton, Director of Markets at the FCA, at the American Bar Association Capital Markets Conference, Law Society, London, Thursday 27 February 2014. This is the text of the speech as drafted, which may differ from the delivered version -
Liquidity Management multi-firm review
Informing the asset management industry of the conclusions and recommendations from our multi-firm review on fund liquidity management. -
Business Plan 2023/24
The FCA's Business Plan details the work it will do over the next 12 months to help deliver the commitments in its Strategy. -
The view from the regulator on Operational Resilience
Speech by Megan Butler, FCA Executive Director of Supervision: Investment, Wholesale and Specialist, delivered on 5 December 2019 at 13.30