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Showing 81 to 90 of 191 search results for MiFID II transaction reporting.
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Review of host Authorised Fund Management firms
We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed. -
Market abuse requires a dynamic response to a changing risk profile
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 -
PS20/2: Publishing and disclosing costs and charges to workplace pension scheme members and amendments to COBS 19.8
Following our consultation in CP19/10, we are publishing our final rules and guidance on requiring pension scheme governance bodies to report costs and charges information to members of workplace pension schemes and some amendments to our COBS 19.8 -
Trading venue reporting form – MiFID II Article 32/52 trading suspensions, removals and restorations [docx]
UK trading venues must communicate the decisions to suspend, remove or restore a financial instrument (and any relevant related derivatives) from trading to the FCA. -
FCA Connect
FCA Connect is our user management system for you to submit applications and notifications. Use it to notify us about approved persons or suspicious transactions or apply for MiFID II. -
EU withdrawal: MiFID event – 9 December 2020
Register for our EU withdrawal: MiFID II event on the 9 December 2020 -
MiFID II: retail investment advice firms
A summary of some of the key changes that impact retail investment advice firms, effective from 3 January 2018. -
Cryptocurrency derivatives
FCA statement on the requirement for firms offering cryptocurrency derivatives to be authorised. -
Market Watch 74
n this Market Watch, we describe some of our recent supervisory observations, covering RTS 22 transaction reporting and the submission of financial instrument reference data under RTS 23. -
FSA - GC11/24 [pdf]
The TRUP is intended to provide firms with sufficient guidance to make informed decisions about their transaction reporting obligations. It is not designed to be a comprehensive list of how firms should report in every situation.