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Showing 81 to 90 of 134 search results for MiFID II transaction reporting regime.
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FCA sets out latest expectations for firms on Brexit
The FCA and regulated firms have been taking steps to prepare in the event the UK leaves the EU on 31 October 2019 without a deal. -
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. -
Passporting between the UK and Gibraltar
Passporting is no longer available except for firms that wish to passport between the UK and Gibraltar until 31 December 2023. Find out more. -
Transparency waivers and deferrals
Market operators and investment firms operating a UK trading venue that would like a pre-trade transparency waiver must apply to us in advance. Find out how to apply for waivers and deferrals. -
MiFID II: product governance review
In this MiFID II review we looked at product governance in a sample of 8 asset management firms. -
Authorisation and registration application fees
Find out how much your firm’s application fee will be to become authorised by us, or registered with us. -
Looking ahead to 2014
Speech by Martin Wheatley, Chief Executive of the FCA, at the ICI Global Trading and Market Structure Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
Training and competence
Our training and competence regime makes sure the financial services workforce is appropriately qualified and well regulated. -
Review on disclosure of costs by asset managers
We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are. -
Regulatory Developments and the Changing Market Structure
Speech by David Lawton, Director of Markets at the FCA, at the American Bar Association Capital Markets Conference, Law Society, London, Thursday 27 February 2014. This is the text of the speech as drafted, which may differ from the delivered version