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Showing 91 to 100 of 135 search results for MiFID II product governance.
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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 -
Andrew Bailey keynote speech on MiFID II at the European Independent Research Providers Association
Speech by Andrew Bailey, Chief Executive of the FCA, on the Markets in Financial Instruments Directive (MiFID II) at the European Independent Research Providers Association. -
FCA fines Goldman Sachs International £34.3 million for transaction reporting failures
Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and timely reporting relating to 220.2 million transaction reports between November 2007 and March 2017. -
The future of financial services regulation in the UK
Speech delivered by Nausicaa Delfas, Executive Director of International, at the UK Financial Services Industry Beyond Brexit Summit, London. -
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 -
IFPR implementation observations: quantifying threshold requirements and managing financial resources
Firms should consider these and how they can strengthen their processes. -
Asset management market study
We have published the final findings of our asset management market study. As part of this, we set out a package of remedies to address the concerns identified. -
Partly contested cases, the pipeline and AML investigations
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime. -
FCA's key priorities for the financial advice industry
Speech by Therese Chambers, our Director of Consumer Investments, delivered at the Personal Finance Society's Festival of Financial Planning. -
Challenges for the regulator - consumer credit, long-term savings and an ageing population
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at City Banquet, Mansion House.