Search results
Showing 121 to 130 of 191 search results for MiFID II transaction reporting.
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Principal trading firms
Find out what permissions you'll need to apply to the FCA for authorisation, how much you'll need to pay and what the FCA expects to see in your application. -
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. -
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. -
Balance of interests
Speech by Martin Wheatley, Chief Executive, the FCA, at the International Derivatives Expo, London. This is the text of the speech as drafted, which may differ from the delivered version. -
UK MiFID framework notifications
If you’re an authorised investment firm find out more about the notifications you may need to make. -
Statement on MiFID trade reporting and position limit obligations
ESMA published a statement saying that it has positively assessed UK trading venues in relation to its Opinions on MiFIR trade reporting and commodity derivatives position limits. -
MiFID II costs and charges disclosures review findings
As part of our supervision work, we looked at the costs and charges disclosures of a sample of 50 firms authorised as MiFID investment firms in the retail investments sector. We wanted to understand if firms were complying with the new rules and -
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. -
2016 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 2016. -
FCA fines Merrill Lynch £34.5 million for failing to report transactions
Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and 6 February 2016.