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Showing 71 to 80 of 212 search results for obligations under MiFID II.

  1. [pdf]

    Documents Published: 03/01/2018

  2. Information on the notifications of inaccurate transaction reporting under MiFID II - August 2020

    FOI Release Date of Release: 10/08/2020
    We hold information on Information on the notifications of inaccurate transaction reporting under MiFID II

  3. UK MiFID transparency calculations

    Data Published: 05/11/2021 Last modified: 14/05/2024
    This page contains updates on the UK MiFID transparency calculations and the latest published data.

  4. FCA Connect

    Registers and systems Published: 03/05/2016 Last modified: 09/02/2023
    FCA Connect is our user management system for you to submit applications and notifications. Use it to notify us about approved persons or suspicious transactions or apply for MiFID II.

  5. Cryptocurrency derivatives

    Statements Published: 06/04/2018 Last modified: 06/04/2018
    FCA statement on the requirement for firms offering cryptocurrency derivatives to be authorised.

  6. Statement on MiFID II inducements and research

    Statements Published: 08/11/2019 Last modified: 08/11/2019
    FCA welcomes the US Securities and Exchange Commission’s extension of no-action relief relating to MiFID II inducements and research provisions

  7. MiFID Annex for VOP Application Form [docx]

    Forms Published: 13/01/2017 Last modified: 26/05/2022
    This MiFID Annex for VOP Applications can be used to provide information required by the RTS under 7(4) of MiFID II that has changed since your initial authorisation.

  8. MiFID II: The future of European trading in the balance

    Speeches Published: 19/09/2014 Last modified: 01/11/2016
    Speech by David Lawton, Director of Markets, at the FCA MiFID II Conference 2014. This is the text of the speech as drafted, which may differ from the delivered version.

  9. UK actions under MiFID II Articles 32 and 52 [xlsx]

    Data Published: 22/06/2018 Last modified: 13/05/2024
    Publication of UK FCA actions (suspensions, removals and restorations) under MiFID article 32 and 52.

  10. Regulation of markets in financial instruments

    Firms Focus areas Markets Markets policy Published: 23/05/2016 Last modified: 11/08/2023
    UK legislation and rules regulating markets in financial instruments are known as the UK MiFID framework. The FCA explains these requirements for investment firms and trading venues.