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Showing 101 to 110 of 495 search results for MiFID II should.

  1. Automated advice: existing rules and guidance

    Firms Published: 27/03/2022 Last modified: 10/02/2023
    Before applying for Innovation Pathways, read our existing rules and guidance to check whether your question is covered.

  2. Investor engagement in a changing regulatory landscape

    Speeches Published: 13/07/2015 Last modified: 14/07/2015
    II. ESMA provided its final advice to the European Commission in December 2014 on detailed proposals to support the new MIFID II Directive, including in the area of research and ... This should create a clear opportunity for research from more

  3. The future of financial services regulation in the UK

    Speeches Published: 29/10/2019 Last modified: 29/10/2019
    Speech delivered by Nausicaa Delfas, Executive Director of International, at the UK Financial Services Industry Beyond Brexit Summit, London.

  4. CFD firms fail to meet our expectations on appropriateness assessments

    Multi-firm reviews Published: 29/06/2017 Last modified: 29/06/2017
    Findings from our review of appropriateness assessments for sales of contracts for difference (CFD) products, through a sample of 23 firms.

  5. PS23/11: Guidance on the trading venue perimeter

    Policy statements Published: 05/07/2023 Last modified: 05/07/2023
    Consultation on new guidance on the regulatory perimeter for trading venues

  6. Information on transaction reporting under MiFIR - May 2022

    FOI Release Date of Release: 11/05/2022
    The FCA answers questions regarding transaction reporting under MiFIR.

  7. FCA publishes rules that will apply at the end of the transition period

    Press Releases Published: 01/10/2020 Last modified: 02/10/2020
    We've published an updated version of the FCA Handbook to show the rules that will apply at the end of the transition period.

  8. PS21/20: Changes to UK MiFID’s conduct and organisational requirements

    Policy statements Published: 30/11/2021 Last modified: 30/11/2021
    We set out our final policy position and rules on changes to the research rules and removal of best execution reporting in RTS 27 and RTS 28 following feedback to CP21/9.

  9. TR14/13 - Best execution and payment for order flow

    Thematic reviews Published: 31/07/2014 Last modified: 31/07/2014
    Read the review to find out more about how all investment firms should review their arrangements for delivering best execution and ensure that your firm is not receiving PFOF. ... Additional obligations in the recast Markets in Financial Instruments

  10. MiFID reporting after the Brexit transition period

    Firms Focus areas Markets Markets policy Published: 04/12/2020 Last modified: 11/01/2023
    Read this page if your firm is migrating to FCA FIRDS or FCA FITRS after 31 December 2020. You will find information here about what you need to do.