Search results
Showing 41 to 50 of 134 search results for MiFID II transaction reporting regime.
-
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. -
Assessing the value of financial advice
Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to The Personal Investment Management and Financial Advice Association (PIMFA) in London. -
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. -
About our data
The FCA publishes a wide range of data. Find out about the types of data available and how often it is published. -
Chairman’s speech
Speech by FCA Chairman, John Griffith-Jones, at the Annual Public Meeting, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Wholesale market policy – a year in review
Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at the ICI Global Trading and Market Structure Conference in London on 8 December 2015. This is the text of the speech as drafted, which may differ from the -
Four building blocks of efficient capital markets
Speech by David Lawton, Director of Markets, FSA at the Practising Law Institute Conference -
Effective global regulation in capital markets
Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London -
DRSP authorisation and supervision forms
We have a number of MAR 9 forms to help your application process. 'Find out about the different data reporting services providers (DRSP) authorisation and supervision documents you may need. -
Where next for investment and asset management regulation?
Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.