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Showing 1 to 10 of 603 search results for mifid ii.

  1. MiFID II

    Markets policy Markets Firms Focus areas Published: 23/05/2016 Last modified: 24/07/2019
    The Markets in Financial Instruments Directive is the EU legislation that regulates firms who provide services to clients linked to ‘financial instruments’ (shares, bonds, units in collective investment schemes and derivatives), and the venues where those instruments are traded.
  2. Applications and notifications under MiFID II

    Markets Markets policy Firms Published: 13/01/2017 Last modified: 02/01/2020
    MiFID II introduced new processes for authorising investment firms and requires investment firms and others to make a range of notifications.
  3. The basic advice regime under MiFID II & IDD

    Financial advisers Published: 19/04/2018 Last modified: 21/09/2018
    This update includes important information for firms selling stakeholder products using basic advice. These firms should read this update to ensure they understand the impact of MiFID II and IDD, and comply with our standards.
  4. PS17/14: Markets in Financial Instruments Directive II implementation – Policy Statement II

    Policy statements Published: 03/07/2017 Last modified: 03/07/2017
    This is our final policy statement setting out final rules for our implementation of MiFID II.
  5. MiFID II: retail investment advice firms

    Tasks for regulated firms Published: 09/01/2018 Last modified: 09/01/2018
    This page provides a summary of some of the key changes that impact retail investment advice firms with effect from 3 January 2018.
  6. MiFID II – Legal Entity Identifier (LEI) update

    Firms Markets Markets policy Last modified: 20/06/2018
    Read this page if you are a firm subject to MiFID II transaction reporting obligations. This page will also be of interest to your clients who are legal entities or structures, including a company, charity or trust, and eligible for an LEI.
  7. PS17/5: Markets in Financial Instruments Directive II implementation – Policy Statement I

    Policy statements Published: 31/03/2017 Last modified: 31/03/2017
    This is our first policy statement setting out our near final rules for our implementation of MiFID II.
  8. MiFID II costs and charges disclosures review findings

    Multi-firm reviews Published: 28/02/2019 Last modified: 28/02/2019
    As part of our supervision work, we looked at the costs and charges disclosures of a sample of 50 firms authorised as MiFID investment firms in the retail investments sector. We wanted to understand if firms were complying with the new rules and what challenges they found in doing so.
  9. 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.
  10. MiFID II Client Categorisation [pdf]

    Impact assessments Published: 04/07/2018