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Showing 71 to 80 of 266 search results for MiFID II wholesale firms.

  1. MiFID II conference

    News stories Published: 19/09/2014 Last modified: 09/12/2016
    The conference was also an opportunity for us to discuss MiFID II with firms, understand the challenges they are facing or are likely to face, and talk about some of the ... The new measures in MiFID II will be implemented on 3 January 2017 and will

  2. EU withdrawal: MiFID event – 9 December 2020

    Events Published: 02/12/2020 Last modified: 02/12/2020
    Register for our EU withdrawal: MiFID II event on the 9 December 2020

  3. MiFID II Occupational Pension Scheme (OPS) Firms [pdf]

    Impact assessments Published: 04/07/2018

  4. Periodic auctions

    Research insights Published: 25/06/2018 Last modified: 28/06/2018
    With MiFID II altering the landscape of equity markets, we take a look at this emerging trading format – with the help of data. 

  5. MiFID Fees and Levies Supplement Form: Wholesale [docx]

    Forms Published: 13/01/2017

  6. Wholesale brokers

    Firm authorisation Published: 05/07/2023 Last modified: 18/10/2023
    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.

  7. MiFID Fees and Levies Supplement Notes: Wholesale [docx]

    Forms Published: 13/01/2017

  8. FCA Connect

    Registers and systems Published: 03/05/2016 Last modified: 09/02/2023
    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.

  9. Statement on MiFID II inducements and research

    Statements Published: 08/11/2019 Last modified: 08/11/2019
    FCA welcomes the US Securities and Exchange Commission’s extension of no-action relief relating to MiFID II inducements and research provisions

  10. Repeal and replacement of assimilated law

    Firms Published: 13/07/2023 Last modified: 01/05/2024
    Documents on the repeal and replacement of provisions in the retained EU law.
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