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Showing 111 to 120 of 444 search results for Statement on MiFID II.

111. Firms continue to fail to meet our expectations on their use of dealing commission

     Multi-firm reviews Published: 03/03/2017 Last modified: 29/11/2021
     We summarise our findings from a review that analysed dealing commission expenditure across 31 investment managers (covering asset managers, wealth managers and host-authorised corporate director providers) between 2012 and 2015.

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

     Data Published: 22/06/2018 Last modified: 24/05/2024
     Publication of UK FCA actions (suspensions, removals and restorations) under MiFID article 32 and 52.

113. 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.

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

     Impact assessments Published: 04/07/2018

115. 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.

116. MiFID II Taping [pdf]

     Impact assessments Published: 04/07/2018

117. MiFID II Inducements [pdf]

     Impact assessments Published: 04/07/2018

118. [pdf]

     Documents Published: 26/03/2015 Last modified: 26/03/2015

119. MiFID II conference: Commodities [pdf]

     Documents Published: 11/11/2014 Last modified: 03/08/2016

120. MiFID II Independence [pdf]

     Impact assessments Published: 04/07/2018