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Showing 91 to 100 of 677 search results for mifid ii.
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MiFID Annex for VOP Application Form [docx]
This MiFID Annex for VOP Applications can be used to provide information required by the RTS under 7(4) of MiFID II that has changed since your initial authorisation. -
MiFID Authorisation Form [docx]
MiFID Authorisation Form -
Implementing MiFID II – multi-firm review of research unbundling reforms
Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately. These are the findings of our review on how -
MiFID ITS Annex II (List of Members of a Management Body) Form [docx]
MiFID ITS Annex II (List of Members of a Management Body) Form. -
MiFID IT Controls Form [xlsx]
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Information on the notifications of inaccurate transaction reporting under MiFID II - August 2020
We hold information on Information on the notifications of inaccurate transaction reporting under MiFID II -
MiFID Annex II: Notification form for the list of members of the management body [docx]
MiFID Annex II: Notification form for the list of members of the management body form -
MiFID Checklist: Retail [docx]
Application for authorisation -
CP16/29: Markets in Financial Instruments Directive II implementation – Consultation Paper III [pdf]
We are consulting on our third set of implementation proposals for MiFID II and seeking views on our proposed changes to the FCA Handbook. -
MiFID Maturity Assessment Form [xlsx]