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Showing 71 to 80 of 504 search results for mifid%20ii.

71. [pdf]

    Documents Published: 15/10/2014 Last modified: 15/10/2014

72. Tied Agent Notification Form [docx]

    Forms Published: 01/07/2015
    This form should be used to notify the FCA when a UK firm intends to use a tied agent established in the territory of another EEA state.

73. MiFID Checklist: Retail [docx]

    Forms Published: 09/12/2019 Last modified: 13/12/2021
    Application for authorisation

74. [pdf]

    Documents Published: 03/01/2017 Last modified: 10/05/2018

75. MiFID MTF Table Form [docx]

    Forms Published: 01/02/2018 Last modified: 01/02/2018

76. FCA statement on MiFID II inducements and research

    Statements Published: 26/10/2017 Last modified: 26/10/2017
    The FCA welcomes the announcements made today by the European Commission and the US Securities and Exchange Commission (US SEC) in relation to the MiFID II inducements and research reforms and their interaction with US regulation.

77. MiFID II wholesale firms conference 2015

    News stories Published: 30/10/2015 Last modified: 11/11/2015
    MiFID II wholesale firms conference 2015. News stories First published:. 30/10/2015. ... See our updates on:. Sign up to receive regular emails about MiFID II.

78. MiFID II Investment Research [pdf]

    Impact assessments Published: 04/07/2018

79. Copy trading

    Tasks for regulated firms Published: 12/05/2015 Last modified: 09/02/2023
    Copy trading allows investors to trade by automatically copying another investor's trades, and this is often classed as portfolio or investment management.

80. MiFID Controller Form: Trust [docx]

    Forms Published: 13/01/2017 Last modified: 17/03/2022
    MiFID Controller Form: Trust