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Showing 121 to 130 of 504 search results for mifid%20ii.

121. Abnormal Trading Volume Ratio

     Data Published: 09/07/2019 Last modified: 12/10/2020
     In the FCA's 2018/19 Annual Report it published a new measure of market cleanliness – the Abnormal Trading Volume ratio (ATV).

122. 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.

123. [doc]

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

124. Change in control notification forms

     Tasks for firms Published: 12/10/2019 Last modified: 13/12/2023
     Download the forms you'll need to submit a change in control notification.

125. MiFID Investment Only Supplement Notes [docx]

     Forms Published: 13/01/2017

126. 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.

127. CP21/7: A new UK prudential regime for MiFID investment firms [pdf]

     Consultation papers Published: 19/04/2021
     We are seeking views on the second tranche of our proposed rules to introduce the Investment Firm Prudential Regime.

128. [doc]

     Forms Published: 06/07/2018 Last modified: 11/05/2022
     mifid-partnership-notification-for-change-in-controller.doc

129. Passporting between the UK and Gibraltar

     Firms Published: 12/01/2023 Last modified: 11/12/2023
     Passporting is no longer available except for firms that wish to passport between the UK and Gibraltar until 31 December 2023. Find out more.

130. DP20/2: A new UK prudential regime for MiFID investment firms [pdf]

     Discussion papers Published: 23/06/2020
     This discussion paper sets out the details of the EU’s new prudential regime for investment firms (IFD/IFR), and seeks feedback from stakeholders on the appropriate rules for the UK to apply in this area