Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 151 to 160 of 200 search results for MiFID II applies from 3 January.

  1. The FCA sees improvements in suitability at wealth managers, but concerns remain

    Press Releases Published: 09/12/2015 Last modified: 09/12/2015
    The FCA encourages all firms providing discretionary and advisory portfolio management services to retail customers to review its findings, consider whether any of the issues identified apply to their own businesses, ... MiFID II will be coming into

  2. PS16/13: Implementation of the Market Abuse Regulation

    Policy statements Published: 28/04/2016 Last modified: 13/10/2016
    In this Policy Statement we report on the main issues arising from Consultation Paper 15/35: Policy proposals and Handbook changes related to the implementation of the Market Abuse Regulation (2014/596/EU) – and Consultation Paper 15/38:

  3. FCA publishes first consultation on new prudential regime for UK investment firms

    News stories Published: 14/12/2020 Last modified: 14/12/2020
    The FCA is seeking views on its proposed rules to introduce the UK Investment Firm Prudential Regime (IFPR) for FCA prudentially-regulated investment firms

  4. Regulating high frequency trading

    Speeches Published: 04/06/2014 Last modified: 04/06/2014
    Speech by Martin Wheatley, CEO, the FCA, at the Global Exchange and Brokerage Conference, New York. This is the text of the speech as drafted, which may differ from the delivered version.

  5. Asset management: A regulatory perspective

    Speeches Published: 26/04/2018 Last modified: 26/04/2018
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at London Business School Annual Asset Management Conference.

  6. PS19/13: Improving shareholder engagement and increasing transparency around stewardship

    Policy statements Published: 30/01/2019 Last modified: 31/05/2019
    We have introduced new requirements to improve shareholder engagement and increase transparency around stewardship. The requirements come into effect on 10 June 2019.  Asset managers and life insurers will need to disclose and make publicly

  7. PS13/5 Implementation of the Alternative Investment Fund Managers Directive

    Policy statements Published: 28/06/2013 Last modified: 29/05/2018
    We are setting out our rules for implementing the Alternative Investment Fund Managers Directive (AIFMD) and responding to the feedback to our consultation.

  8. CP23/27: Reforming the commodity derivatives regulatory framework

    Consultation papers Published: 04/12/2023 Last modified: 30/05/2024
    This consultation sets out our proposals concerning position limits, the exemptions from those limits, position management controls, the reporting regime and the ancillary activities test.

  9. Call for Input: PRIIPs Regulation – initial experiences with the new requirements

    Feedback statements Published: 28/02/2019 Last modified: 28/02/2019
    In this Feedback Statement, we summarise responses to our Call for Input on the Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation. We also outline our next steps.

  10. Information for general insurers and intermediaries in the UK

    Firms Published: 26/02/2019 Last modified: 12/03/2024
    A focus for UK-based general insurers is minimising the disruption for EEA-based customers (including expats), or policies with certain EEA risks.
Related topics