Search results
Showing 121 to 130 of 388 search results for implementation of MiFID II.
-
The vital relationship between the regulator and the advisory industry
Speech by John Griffith-Jones, Chairman of the FCA, at The Association of Professional Financial Advisers (APFA) Annual Gala Dinner delivered at Banking Hall, London. This is the text of the speech as drafted, which may differ from the delivered -
Preparing for Brexit in financial services: the state of play
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at Bloomberg - London -
PS18/1: Insurance Distribution Directive implementation - Feedback and near-final rules to CP17/33 and other IDD consultations
This is our third Policy Statement setting out near-final rules for the implementation of the Insurance Distribution Directive (IDD). -
CFD firms fail to meet our expectations on appropriateness assessments
Findings from our review of appropriateness assessments for sales of contracts for difference (CFD) products, through a sample of 23 firms. -
Firms continue to fail to meet our expectations on their use of dealing commission
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. -
TR16/1: Assessing suitability: Research and due diligence of products and services
We will be publishing a second consultation paper on the implementation of the Markets in Financial Instruments Directive (MiFID II) later this year. -
Payment for order flow multi-firm review findings
This final report on our recent supervisory work on conflicts of interest and payment for order flow (PFOF) follows the preliminary findings published in Market Watch 56 in September 2018. -
FCA announces the names of firms who have participated in the Advice Unit and publishes the FAMR baseline report
The Financial Conduct Authority (FCA) has today announced the names of firms who have participated in the Advice Unit. -
Implementing Technology Change
This review sets out the findings from our cross-Financial Services change management review which looked at how financial firms manage technology change, the impact of change failures and the practices utilised within the industry to help reduce -
Advice firms demonstrate some good practice on due diligence but greater consistency needed
The FCA will publish a second consultation paper on the implementation of the Markets in Financial Instruments Directive (MiFID II) later this year.