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Showing 131 to 140 of 676 search results for mifid ii.

131. Minutes of the MiFID II implementation roundtable: November 2015 [pdf]

     Meeting minutes Published: 08/12/2015 Last modified: 08/12/2015
     From the meeting held on 30 November 2015

132. Training and competence

     Tasks for regulated firms Published: 12/05/2015 Last modified: 10/02/2023
     Our training and competence regime makes sure the financial services workforce is appropriately qualified and well regulated.

133. Chairman’s speech

     Speeches Published: 18/07/2013 Last modified: 18/07/2013
     Speech by FCA Chairman, John Griffith-Jones, at the Annual Public Meeting, London. This is the text of the speech as drafted, which may differ from the delivered version.

134. MiFID Investment and Home Finance Supplement Notes [docx]

     Forms Published: 13/01/2017

135. MiFID investment services and activities and investments types form [docx]

     Forms Published: 27/01/2017 Last modified: 29/03/2022
     MiFID investment services and activities and investments types form.

136. Regulation of markets in financial instruments

     Firms Focus areas Markets Markets policy Published: 23/05/2016 Last modified: 11/08/2023
     UK legislation and rules regulating markets in financial instruments are known as the UK MiFID framework. The FCA explains these requirements for investment firms and trading venues.

137. 2018 Disclosure Log

     Last modified: 14/09/2020
     The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2018. 

138. FCA publishes second consultation paper on the Markets in Financial Instruments Directive II implementation

     Press Releases Published: 29/07/2016 Last modified: 29/07/2016
     The Financial Conduct Authority (FCA) has today published its second consultation paper (CP16/19) on the implementation of the Markets in Financial Instruments Directive II (MiFID II) in the UK. ... Andrew Bailey, Chief Executive of the FCA, commented:.

139. CP15/43: Markets in Financial Instruments Directive II Implementation – Consultation Paper I

     Consultation papers Published: 15/12/2015 Last modified: 22/08/2019
     HM Treasury (The Treasury) consulted on most of the changes to UK legislation required to implement MiFID II in March 2015. ... At the same time, we began our own consultation process and published a discussion paper, DP15/3, about issues where we have

140. MiFID Controller Form: Legal Persons and Partnerships [docx]

     Forms Published: 13/01/2017 Last modified: 17/03/2022
     MiFID Controller Form: Legal Persons and Partnerships