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Showing 81 to 90 of 266 search results for MiFID II wholesale firms.

81. Impact Assessment: MiFID II product governance [pdf]

    Impact assessments Published: 01/08/2018
    Extension of MiFID II product governance provisions to non-MiFID firms

82. Cryptocurrency derivatives

    Statements Published: 06/04/2018 Last modified: 06/04/2018
    FCA statement on the requirement for firms offering cryptocurrency derivatives to be authorised.

83. Market Watch issue 64: market conduct and Brexit and MiFID II transaction reporting issues [pdf]

    Newsletters Published: 27/08/2020 Last modified: 27/08/2020
    This edition of Market Watch provides important information to help MiFID II firms prepare for the end of the transition period.

84. MiFID II – Application and notification user guide [pdf]

    Documents Published: 13/01/2017
    This user guide helps firms to decide which applications and notifications they should make to prepare for the implementation of MiFID II.

85. Corporate finance firms

    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.

86. Wholesale markets firm applicants

    Firm authorisation Published: 04/07/2023 Last modified: 24/04/2024
    If you're a wholesale investment firm, you have to be authorised by us. Learn how to prepare your application and what you need to read first.

87. Regulation of markets in financial instruments

    Firms Focus areas Markets Markets policy Published: 23/05/2016 Last modified: 11/08/2023
    UK legislation and rules regulating markets in financial instruments are known as the UK MiFID framework. The FCA explains these requirements for investment firms and trading venues.

88. FCA statement on MiFID II inducements and research

    Statements Published: 26/10/2017 Last modified: 26/10/2017
    The FCA welcomes the announcements made today by the European Commission and the US Securities and Exchange Commission (US SEC) in relation to the MiFID II inducements and research reforms and their interaction with US regulation.

89. UK actions under MiFID II Articles 32 and 52 [xlsx]

    Data Published: 22/06/2018 Last modified: 25/04/2024
    Publication of UK FCA actions (suspensions, removals and restorations) under MiFID article 32 and 52.

90. FCA statement on share trading obligations

    Statements Published: 19/03/2019 Last modified: 19/03/2019
    The FCA's response to ESMA’s statement on share trading obligations under MiFID II.