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Showing 71 to 80 of 676 search results for mifid ii.

  1. Four building blocks of efficient capital markets

    Speeches Published: 01/02/2013 Last modified: 29/03/2013
    Speech by David Lawton, Director of Markets, FSA at the Practising Law Institute Conference
  2. [pdf]

    Documents Published: 03/01/2018
  3. Effective global regulation in capital markets

    Speeches Published: 05/12/2017 Last modified: 11/04/2018
    Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London
  4. MiFID II Systematic Internaliser and Electronic Trading Notification Guide [pdf]

    Systems information Published: 11/09/2017
    This guide is designed to assist with the submission of the Systematic Internaliser Notification and the Electronic Trading Notification form.
  5. MiFID II passporting application form: Tied agent notification [pdf]

    Forms Published: 17/07/2017
    MiFID II notice of intention to use a tied agent established in another EEA state or amend EEA tied agent details.
  6. Where next for investment and asset management regulation?

    Speeches Published: 28/09/2017 Last modified: 02/10/2017
    Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.
  7. FCA publishes near final rules on MiFID II and encourages firms to submit applications for MiFID II authorisation

    Press Releases Published: 31/03/2017 Last modified: 31/03/2017
    The Financial Conduct Authority (FCA) has today published near final rules on the implementation of the Markets in Financial Instruments Directive (MiFID) II. These include changes to the trading of financial instruments including issues affecting
  8. CP17/19: Markets in Financial Instruments Directive II Implementation – Consultation Paper VI

    Consultation papers Published: 03/07/2017 Last modified: 03/07/2017
    We are consulting on our sixth set of implementation proposals for MiFID II and seeking views on the proposed changes to the FCA Handbook.
  9. Trading venues and systematic internalisers – changes in security statuses

    Markets policy Published: 21/12/2017 Last modified: 21/12/2022
    Trading venues and systematic internalisers may have to notify the FCA when there are changes in the status of the securities they trade.
  10. Key requirements of firms

    Firms Published: 30/09/2020 Last modified: 31/03/2022
    Firms should have prioritised these key requirements following the end of the transition period.