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Showing 51 to 60 of 212 search results for obligations under MiFID II.
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A forward look at regulation of the UK’s wholesale financial markets
Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at the ISLA's Post Trade Conference on 16 March. -
CFD firms fail to meet our expectations on appropriateness assessments
Findings from our review of appropriateness assessments for sales of contracts for difference (CFD) products, through a sample of 23 firms. -
Modelling integrity through culture
Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version. -
2019 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2019. -
Investor engagement in a changing regulatory landscape
Of course, the debate in relation to the connection between research and dealing commission has now very much moved to the European stage, due to the development of proposals under MIFID ... II. ESMA provided its final advice to the European Commission -
Preparing for Brexit in financial services: the state of play
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at Bloomberg - London -
Effective compliance with the Market Abuse Regulation – a state of mind
It is worth noting that the introduction of MiFID II also introduces the second tranche, so to speak, of MAR implementation. ... Many of those capabilities do not necessarily arise from MAR, but from, for example, MiFID II, and indeed the wider suite of -
Financial Conduct Authority outlines how it would use the temporary transitional power
The FCA has set out how it would use the temporary transitional power in the event the UK leaves the EU without an agreement. -
Automated advice: existing rules and guidance
Before applying for Innovation Pathways, read our existing rules and guidance to check whether your question is covered. -
The future of financial services regulation in the UK
Speech delivered by Nausicaa Delfas, Executive Director of International, at the UK Financial Services Industry Beyond Brexit Summit, London.