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Showing 81 to 90 of 504 search results for mifid%20ii.

81. MiFID Transparency Waiver Form [docx]

    Forms Published: 07/04/2022
    MiFID Transparency Waiver Form

82. External audit requirements for MiFID investment firms

    Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
    Find out more about external audit requirements for MiFID investment firms, including what you need to do.

83. MiFID ITS Annex II (List of Members of a Management Body) Form [docx]

    Forms Published: 13/01/2017 Last modified: 22/03/2022
    MiFID ITS Annex II (List of Members of a Management Body) Form.

84. MiFID Self Certification 6 Form [docx]

    Forms Published: 13/01/2017
    MiFID Self Certification 6 Form.

85. MiFID Self Certification 7 Form [docx]

    Forms Published: 13/01/2017 Last modified: 30/12/2022
    MiFID Self Certification 7 Form.

86. Temporary Permissions Regime: MiFID tied agent annex [docx]

    Forms Published: 04/01/2019

87. MiFID II Disclosure Requirements [pdf]

    Impact assessments Published: 04/07/2018

88. Direction under section 55U and section 60 and related provisions of the Financial Services and Markets Act 2000 [pdf]

    Handbook Published: 30/01/2017
    The purpose of this Direction is to: (a) create the “Long Form A – UK and Overseas Firms (not Incoming EEA) for MiFID authorisation applications”; (b) amend the Supervision manual to add the “Long Form A – UK and Overseas Firms (not

89. 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.

90. 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