Search results

Showing 41 to 50 of 408 search results for application of MiFID II.

41. MiFID Checklist: Retail [docx]

    Forms Published: 09/12/2019 Last modified: 13/12/2021
    Application for authorisation

42. MiFID Checklist: Wholesale [docx]

    Forms Published: 13/01/2017 Last modified: 13/12/2021
    MiFID wholesale checklist - application for authorisation

43. MiFID Annex I: Application form for a data reporting services provider notes [docx]

    Forms Published: 27/01/2017
    This guidance provides clarification on completing the application for a DRSP.

44. FCA statement on share trading obligations

    Statements Published: 19/03/2019 Last modified: 19/03/2019
    The FCA's response to ESMA’s statement on share trading obligations under MiFID II.

45. Market data reporting and MDP

    Markets Published: 04/09/2016 Last modified: 29/04/2024
    The Market Data Processor (MDP) system allows entities to submit and access market data. Find out more about who it applies to and how on-boarding works.

46. Brexit resources

    Focus areas Published: 09/03/2018 Last modified: 12/08/2022
    This page lists our news and statements, speeches, publications and other pages related to Brexit.

47. Commodity derivatives: position limits, reporting regime and commitment of trader reports

    Firms Markets Markets policy Published: 22/05/2016 Last modified: 11/09/2023
    This regime for commodity derivatives aims to prevent market abuse. Read more about position limits, when to notify the FCA and submitting reports.

48. Regulation of markets in financial instruments

    Firms Focus areas Markets Markets policy Published: 23/05/2016 Last modified: 11/08/2023
    UK legislation and rules regulating markets in financial instruments are known as the UK MiFID framework. The FCA explains these requirements for investment firms and trading venues.

49. CP15/43: Markets in Financial Instruments Directive II Implementation – Consultation Paper I

    Consultation papers Published: 15/12/2015 Last modified: 22/08/2019
    Discussion is currently taking place between the Commission, the European Parliament and Council of the European Union about whether the date of application of MiFID II should be delayed by a ... HM Treasury (The Treasury) consulted on most of the

50. Transparency waivers and deferrals

    Firms Focus areas Markets Markets policy Published: 23/05/2016 Last modified: 11/01/2023
    Market operators and investment firms operating a UK trading venue that would like a pre-trade transparency waiver must apply to us in advance. Find out how to apply for waivers and deferrals.