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Showing 1 to 10 of 492 search results for mifid ii.

  1. MiFID II

    Markets policy Markets Firms Focus areas Published: 23/05/2016 Last modified: 15/03/2018
    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. MiFID II

    Last modified: 15/03/2018
    Y Gyfarwyddeb Marchnadoedd mewn Offerynnau Ariannol yw deddfwriaeth yr UE sy’n rheoleiddio cwmnïau sy’n darparu gwasanaethau i gleientiaid sy’n gysylltiedig ag ‘offerynnau ariannol’ (cyfranddaliadau, bondiau, unedau mewn cynlluniau buddsoddi torfol a deilliadau), a’r lleoliadau lle masnachir yr offerynnau hynny.
  3. 1. Overview

    Last modified: 06/07/2016
    ​Introduction - Markets in Financial Instruments Directive (MiFID) background and MiFID II key objectives
  4. 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.
  5. Structured deposits under MiFID II

    Markets Markets policy Firms Published: 03/04/2017 Last modified: 25/01/2018
    Find out how to submit a notification to us if your firm wants to sell or advise on structured deposits from 3 January 2018.
  6. 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.
  7. The basic advice regime under MiFID II & IDD

    Financial advisers Published: 19/04/2018 Last modified: 19/04/2018
    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.
  8. MiFID II – Legal Entity Identifier (LEI) update

    Firms Markets Markets policy Last modified: 02/03/2018
    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.
  9. 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.
  10. 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