Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 111 to 120 of 505 search results for mifid%20ii.

  1. MiFID Investment Only Supplement Form [docx]

    Forms Firm and market data Retail banking Retail investments Retail lending General insurance and protection Investment management Pensions and retirement income Published: 13/01/2017

  2. [doc]

    Forms Published: 06/07/2018 Last modified: 23/06/2022
    mifid-trust-notification-for-change-in-controller.doc

  3. PS21/20: Changes to UK MIFID's conduct and organisational requirements [pdf]

    Policy statements Published: 30/11/2021
    This Policy Statement summarises the feedback received to CP21/9 and outlines our final position and Handbook rule changes to UK MIFID's conduct and organisational requirements.

  4. MiFID II and the fight against financial crime

    Speeches Published: 11/07/2018 Last modified: 20/07/2018
    FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.

  5. [doc]

    Forms Published: 16/09/2019 Last modified: 23/06/2022
    mifid-individual-notification-for-change-in-controller.doc

  6. External audit requirements

    Tasks for regulated firms Published: 11/05/2015 Last modified: 09/02/2023
    Some firms need to appoint an auditor to do an external audit. Read more about the external audit requirements for firms that are not PRA-regulated.

  7. CP20/24: A new UK prudential regime for MiFID investment firms [pdf]

    Consultation papers Published: 14/12/2020
    We seek views on the first tranche of our proposed rules to introduce the UK Investment Firm Prudential Regime (IFPR), a new prudential regime for UK firms authorised under MiFID

  8. MiFID Investment Only Supplement Notes [docx]

    Forms Published: 13/01/2017

  9. Depositaries

    Focus areas Published: 08/06/2016 Last modified: 01/02/2023
    How to apply to act as a depositary of an authorised or unauthorised Alternative Investment Fund.

  10. MiFID II – Application and notification user guide [pdf]

    Documents Published: 13/01/2017
    This user guide helps firms to decide which applications and notifications they should make to prepare for the implementation of MiFID II.