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Showing 1 to 10 of 135 search results for MiFID II product governance.

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

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

2. MiFID II: product governance review

   Multi-firm reviews Published: 26/02/2021 Last modified: 15/04/2021
   In this MiFID II review we looked at product governance in a sample of 8 asset management firms.

3. 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.

4. Investor protection under MiFID II

   Speeches Published: 20/10/2015 Last modified: 20/10/2015
   Speech by David Geale, Director of Policy, FCA, delivered at the FCA MiFID II Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

5. Investor protection in the UK: New tools, new challenges

   Speeches Published: 19/09/2014 Last modified: 19/09/2014
   Speech by Maggie Craig, Acting Head of Savings and Investments, at the FCA MiFID II Conference 2014. This is the text of the speech as drafted, which may differ from the delivered version.

6. Where next for investment and asset management regulation?

   Speeches Published: 28/09/2017 Last modified: 02/10/2017
   Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.

7. UK EMIR news

   Markets policy Published: 24/05/2016 Last modified: 18/12/2023
   Read our archive of news relating to EMIR dating back to August 2013.

8. Assessing the value of financial advice

   Speeches Published: 04/12/2017 Last modified: 11/04/2018
   Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to The Personal Investment Management and Financial Advice Association (PIMFA) in London.

9. Independence, confidence and fairness

   Speeches Published: 04/02/2016 Last modified: 04/02/2016
   Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at Bloomberg, in the City of London, on 4 February 2016, London. This is the text of the speech as drafted, which may differ from the delivered version.

10. MiFID II: The future of European trading in the balance

    Speeches Published: 19/09/2014 Last modified: 01/11/2016
    Speech by David Lawton, Director of Markets, at the FCA MiFID II Conference 2014. This is the text of the speech as drafted, which may differ from the delivered version.