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Showing 41 to 50 of 266 search results for MiFID II wholesale firms.
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Payment for order flow multi-firm review findings
This final report on our recent supervisory work on conflicts of interest and payment for order flow (PFOF) follows the preliminary findings published in Market Watch 56 in September 2018. -
FCA confirms extension of the Temporary Permission Regime deadline
The FCA has today confirmed the deadline for notifications for the temporary permissions regime (TPR) will be extended to the end of 30 October 2019. TPR would allow EEA-based firms passporting into the UK to continue new and existing regulated -
The FCA sees improvements in suitability at wealth managers, but concerns remain
Speech July 2013: The FCA’s approach to supervising wealth management and private banking firms. ... MiFID II will be coming into force in the UK and some of its provisions will apply to firms providing portfolio management services to retail customers. -
How regulation can prepare the ground for economic growth
Speech by Sarah Pritchard, Executive Director, Markets at the City and Financial Global: The Future of UK Financial Services Regulation Summit. -
FCA further bolsters its leadership team as it expands its headcount
The Financial Conduct Authority (FCA) has appointed six directors as it expands its headcount to meet a growing remit and to achieve its ambitious strategy, which launched in April. The appointments announced today, which fill a mix of new and -
Preparing for Brexit in financial services: the state of play
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at Bloomberg - London -
TR15/2: Structured Products: Thematic Review of Product Development and Governance
Our recent work in the structured products market has focused on better understanding consumer behaviour and the way that firms approach product development and governance. -
TR16/5: UK equity market dark pools – Role, promotion and oversight in wholesale markets
We also encourage all firms to continue to prepare for forthcoming regulatory changes. ... Proposed regulations under MiFID II will have a significant impact on the market, especially on broker crossing networks. -
The FCA's response to COVID-19 and expectations for 2020
Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at PIMFA’s Virtual Festival. -
Regulating financial innovation – going behind the scenes
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Cambridge Centre for Alternative Finance annual conference, Judge Business School.