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Showing 1 to 10 of 39 search results for Statement on MiFID II inducements and research.

1. 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

2. 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.

3. PS17/14: Markets in Financial Instruments Directive II implementation – Policy Statement II

   Policy statements Published: 03/07/2017 Last modified: 03/07/2017
   This Policy Statement covers the MiFID II rules of most relevance to consumers. ... Firms must continue with their preparations for the application of MiFID II on 3 January 2018.

4. FCA publishes third MiFID II consultation paper

   Press Releases Published: 29/09/2016 Last modified: 29/09/2016
   The Financial Conduct Authority (FCA) has today (29 September 2016) published its third consultation paper on the implementation of the revised Markets in Financial Instruments Directive (MiFID II).

5. Dealing commission

   Speeches Published: 10/07/2014 Last modified: 10/07/2014
   Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA conference on dealing commission in London. This is the text of the speech as drafted, which may differ from the delivered version.

6. PS21/20: Changes to UK MiFID’s conduct and organisational requirements

   Policy statements Published: 30/11/2021 Last modified: 30/11/2021
   We set out our final policy position and rules on changes to the research rules and removal of best execution reporting in RTS 27 and RTS 28 following feedback to CP21/9.

7. Implementing MiFID II – multi-firm review of research unbundling reforms

   Multi-firm reviews Published: 19/09/2019 Last modified: 19/09/2019
   Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately. These are the findings of our review on how

8. Investor engagement in a changing regulatory landscape

   Speeches Published: 13/07/2015 Last modified: 14/07/2015
   Of course, the debate in relation to the connection between research and dealing commission has now very much moved to the European stage, due to the development of proposals under MIFID ... II. ESMA provided its final advice to the European Commission

9. 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.

10. MiFID II Research and Inducement [pdf]

    Impact assessments Published: 04/07/2018