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Showing 1 to 10 of 637 search results for mifid ii.

  1. MiFID II

    Markets policy Markets Firms Focus areas Published: 23/05/2016 Last modified: 14/06/2018
    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. 1. Overview

    Last modified: 06/07/2016
    MiFID II includes:. The Directive (MiFID -2014/65/EU); this revises and expands the existing directive. ... Exchanges. We seek feedback on a MiFID II Handbook Guide, which will sit alongside the Handbook changes.
  3. Applications and notifications under MiFID II

    Markets Markets policy Firms Published: 13/01/2017 Last modified: 05/02/2018
    MiFID II introduced new processes for authorising investment firms and requires investment firms and others to make a range of notifications.
  4. 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.
  5. 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.
  6. 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.
  7. A Better View

    Speeches Published: 20/09/2017 Last modified: 20/09/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017
  8. 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.
  9. Structured deposits under MiFID II

    Markets Markets policy Firms Published: 03/04/2017 Last modified: 04/12/2018
    Find out how to submit a notification to us if your firm wants to sell or advise on structured deposits from 3 January 2018.
  10. mifid-ii-general-guidance.pdf [pdf]

    Documents Published: 03/01/2017 Last modified: 10/05/2018