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Showing 61 to 70 of 134 search results for MiFID II transaction reporting regime.

  1. Partly contested cases, the pipeline and AML investigations

    Speeches Published: 04/04/2019 Last modified: 04/04/2019
    FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.

  2. Preparing for Brexit in financial services: the state of play

    Speeches Published: 16/09/2019 Last modified: 16/09/2019
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at Bloomberg - London

  3. Asset management market study

    Market studies Published: 18/11/2015 Last modified: 24/09/2018
    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.

  4. Investor engagement in a changing regulatory landscape

    Speeches Published: 13/07/2015 Last modified: 14/07/2015
    One example that we have become aware of anecdotally relates to the more informal discussions that seem to have replaced quarterly reporting, where there can be differing views (at times between ... II. ESMA provided its final advice to the European

  5. How regulation can prepare the ground for economic growth

    Speeches Published: 27/09/2022 Last modified: 27/09/2022
    Speech by Sarah Pritchard, Executive Director, Markets at the City and Financial Global: The Future of UK Financial Services Regulation Summit.

  6. Market abuse requires a dynamic response to a changing risk profile

    Speeches Published: 13/02/2019 Last modified: 17/05/2019
    MAR and MiFID II define what constitutes unacceptable conduct and practice, including behaviour that amounts to giving false or misleading impressions to the market. ... MiFID II has been, amongst many things, an exercise in bringing together a common

  7. Market Watch issue 64: market conduct and Brexit and MiFID II transaction reporting issues [pdf]

    Newsletters Published: 27/08/2020 Last modified: 27/08/2020
    This edition of Market Watch provides important information to help MiFID II firms prepare for the end of the transition period.

  8. MiFID II wholesale firms conference 2015

    News stories Published: 30/10/2015 Last modified: 11/11/2015
    MiFID II wholesale firms conference 2015. News stories First published:. 30/10/2015. ... See our updates on:. Sign up to receive regular emails about MiFID II.

  9. Market Watch 72

    Newsletters Published: 11/01/2023 Last modified: 11/01/2023
    In this Market Watch, we outline our recent findings on the quality of service provided by Approved Publication Arrangements (APAs) and Approved Reporting Mechanisms (ARMs), collectively known as Data Reporting Services Providers (DRSPs), to clients

  10. MiFID II and the fight against financial crime

    Speeches Published: 11/07/2018 Last modified: 20/07/2018
    FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.
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