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Showing 1 to 10 of 409 search results for MiFID II Application.

1. MiFID II: applications for permissions needed now

   News stories Published: 19/06/2017 Last modified: 19/06/2017
   MiFID II applies from 3 January 2018, and will deliver some important changes to financial services regulation in the UK.

2. MiFID II: applications received after 3 July 2017

   News stories Published: 25/07/2017 Last modified: 25/07/2017
   MiFID II applies from 3 January 2018, and will deliver some important changes to financial services regulation in the UK.

3. 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.

4. FCA publishes near final rules on MiFID II and encourages firms to submit applications for MiFID II authorisation

   Press Releases Published: 31/03/2017 Last modified: 31/03/2017
   The Financial Conduct Authority (FCA) has today published near final rules on the implementation of the Markets in Financial Instruments Directive (MiFID) II. These include changes to the trading of financial instruments including issues affecting

5. The basic advice regime under MiFID II & IDD

   Financial advisers Published: 19/04/2018 Last modified: 16/02/2023
   The FCA explains the update that includes important information for firms selling stakeholder products using basic advice and the impact of MiFID II and IDD.

6. MiFID II: authorisation and variation of permissions

   News stories Published: 18/09/2017 Last modified: 30/08/2023
   The FCA publishes MiFID 2 guide.

7. MiFID II conference

   News stories Published: 19/09/2014 Last modified: 09/12/2016
   MiFID II conference. News stories First published:. 19/09/2014. Last updated: 09/12/2016. ... The new measures in MiFID II will be implemented on 3 January 2017 and will affect trading venues, investment firms and investors.

8. MiFID II: retail investment advice firms

   Tasks for regulated firms Published: 09/01/2018 Last modified: 21/12/2022
   A summary of some of the key changes that impact retail investment advice firms, effective from 3 January 2018.

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. A Better View

    Speeches Published: 20/09/2017 Last modified: 20/09/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017