Search results
Showing 81 to 90 of 156 search results for MiFID II to the Prospectus Rules.
-
Outsourcing and operational resilience
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. -
Automated investment services - our expectations
The FCA carried out two reviews, the first looking at firms offering automated online discretionary investment management and the second looked at firms providing retail investment advice exclusively through automated channels. The FCA reports back -
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. -
Automated advice: existing rules and guidance
Before applying for Innovation Pathways, read our existing rules and guidance to check whether your question is covered. -
Remuneration and performance management of sales staff (SYSC 19F)
FCA provides rules on staff incentives and the remuneration of sales staff and advisers. -
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. -
2018 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2018. -
FCA publishes Insurance Distribution Directive consultation
The Financial Conduct Authority (FCA) has today published the first of its two consultation papers on the implementation of the Insurance Distribution Directive (IDD). -
Information on FCA enforcement investigations - October 2021
The FCA provides data on open FCA enforcement investigations. -
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.