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Showing 21 to 30 of 266 search results for MiFID II wholesale firms.

  1. A forward look at regulation of the UK’s wholesale financial markets

    Speeches Published: 16/03/2021 Last modified: 16/03/2021
    Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at the ISLA's Post Trade Conference on 16 March.

  2. Evolving the FCA's approach to markets regulation

    Speeches Published: 19/11/2013 Last modified: 19/11/2013
    Keynote speech by David Lawton, Director of Markets, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

  3. DP15/3: Developing our approach to implementing MiFID II conduct of business and organisational requirements

    Discussion papers Published: 26/03/2015 Last modified: 03/11/2016
    MiFID II is a wide-ranging piece of European legislation that will impact on wholesale markets and a wide range of financial services firms in the UK. ... We are seeking views from firms and other stakeholders on certain aspects of MiFID II where we have

  4. Information on open FCA enforcement investigations - December 2020

    FOI Release Date of Release: 21/12/2020
    The FCA provides a breakdown by category of all open FCA investigations as at the 23 November 2020.

  5. FCA steps up focus on fair use of client dealing commission

    Press Releases Published: 10/07/2014 Last modified: 10/07/2014
    4. New European regulations (Markets in Financial Instruments Directive II – MiFID II) will affect the use of dealing commission. ... Today’s paper outlines some key elements of MiFID II and calls for evidence to inform this work.

  6. Market integrity and strategic approach

    Speeches Published: 07/02/2020 Last modified: 20/03/2024
    FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on the confluence of EU, UK and US law and practice in our securities markets.

  7. 2015 Disclosure Log

    Last modified: 30/01/2020
    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 2015. 

  8. Brexit: information for retail investments firms in the UK

    Firms Published: 26/02/2019 Last modified: 21/06/2022
    If you have customers based in the EEA, find out what actions we expect you to have taken now the transition period is over.

  9. Brexit and financial services: where have we got to?

    Speeches Published: 25/10/2018 Last modified: 26/10/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at the City Banquet, Mansion House, London.

  10. Accomplishments of the last 5 years

    Speeches Published: 14/03/2018 Last modified: 14/03/2018
    Speech by John Griffith-Jones, Chairman, FCA, delivered at an event hosted by TheCityUK at Linklaters LLP, London.
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