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Showing 131 to 140 of 173 search results for implementation proposals for MiFID II.

  1. CP15/34: Regulatory fees and levies: policy proposals for 2016/17

    Consultation papers Published: 05/11/2015 Last modified: 05/11/2015
    CP15/34: Regulatory fees and levies: policy proposals for 2016/17. Consultation papers First published:. ... recover the data reporting costs associated with market monitoring under the Markets in Financial Instruments Directive (MiFID II) and Markets in

  2. Updates to the FCA’s directions under the Temporary Transitional Power

    Press Releases Published: 26/09/2019 Last modified: 26/09/2019
    Today, the Financial Conduct Authority (FCA) has updated and published draft directions under its Temporary Transitional Power (TTP). The TTP gives the FCA flexibility in applying post-Brexit requirements, allowing firms to transition to a new UK

  3. Asset management market study

    Market studies Published: 18/11/2015 Last modified: 24/09/2018
    We have published the final findings of our asset management market study. As part of this, we set out a package of remedies to address the concerns identified.

  4. PS19/28: Proxy Advisors (Shareholders’ Rights) Regulations Implementation (DEPP and EG)

    Policy and guidance Policy statements Published: 25/11/2019 Last modified: 25/11/2019
    We are setting out changes to our DEPP and EG regulatory guides and processes now that we have new powers to discipline and investigate proxy advisors.

  5. PS18/3: Perimeter guidance on personal recommendations on retail investments

    Policy statements Published: 23/02/2018 Last modified: 23/02/2018
    This Policy Statement sets out our response to feedback on new perimeter guidance on what constitutes a personal recommendation, which we published in consultation CP17/28: FAMR Implementation Part II and insistent clients (PDF).

  6. FCA publishes terms of reference for its investment and corporate banking market study

    Press Releases Published: 22/05/2015 Last modified: 04/11/2019
    The Financial Conduct Authority (FCA) has set out the issues it will focus on as part of its market study into competition in investment and corporate banking.

  7. MiFID reporting after the Brexit transition period

    Firms Focus areas Markets Markets policy Published: 04/12/2020 Last modified: 11/01/2023
    Read this page if your firm is migrating to FCA FIRDS or FCA FITRS after 31 December 2020. You will find information here about what you need to do. 

  8. Evolving the FCA's approach to markets regulation

    Speeches Published: 19/11/2013 Last modified: 19/11/2013
    Keynote speech by David Lawton, Director of Markets, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

  9. DRSP authorisation and supervision forms

    Firms Markets Markets policy Published: 13/01/2017 Last modified: 15/12/2022
    We have a number of MAR 9 forms to help your application process. 'Find out about the different data reporting services providers (DRSP) authorisation and supervision documents you may need.

  10. FCA confirms extension of the Temporary Permission Regime deadline

    Press Releases Published: 24/05/2019 Last modified: 24/05/2019
    The FCA has today confirmed the deadline for notifications for the temporary permissions regime (TPR) will be extended to the end of 30 October 2019. TPR would allow EEA-based firms passporting into the UK to continue new and existing regulated
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