Search results
Showing 121 to 130 of 499 search results for MiFID II should.
-
The vital relationship between the regulator and the advisory industry
Speech by John Griffith-Jones, Chairman of the FCA, at The Association of Professional Financial Advisers (APFA) Annual Gala Dinner delivered at Banking Hall, London. This is the text of the speech as drafted, which may differ from the delivered -
MiFID reporting after the Brexit transition period
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. -
PS21/20: Changes to UK MiFID’s conduct and organisational requirements
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. -
FCA steps up efforts to ensure firms are getting ready for a no-deal Brexit
We are stepping up our efforts to ensure firms are aware of what they need to do to prepare for the potential of a no-deal Brexit. -
The FCA's response to COVID-19 and expectations for 2020
Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at PIMFA’s Virtual Festival. -
Payment for order flow multi-firm review findings
This final report on our recent supervisory work on conflicts of interest and payment for order flow (PFOF) follows the preliminary findings published in Market Watch 56 in September 2018. -
Potentially Anomalous Trading Ratio 2019/20
The FCA committed to developing and publishing additional measures that will further illustrate the state of UK markets. -
Investment managers still failing to ensure effective oversight of best execution
We outline findings from supervisory work looking at how investment managers deliver best execution for their clients. -
AI and financial crime: silver bullet or red herring?
Speech by Rob Gruppetta, Head of the Financial Crime Department, delivered at Chatham House. -
Implementing Technology Change
This review sets out the findings from our cross-Financial Services change management review which looked at how financial firms manage technology change, the impact of change failures and the practices utilised within the industry to help reduce