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Showing 41 to 50 of 383 search results for provisions in MiFID II.

  1. Transitional provisions and regimes

    Firms Published: 01/10/2020 Last modified: 31/03/2022
    Find out about the transitional provisions and regimes that are operating, following the end of the transition period.

  2. Information on MiFID 2 transaction reporting - February 2020

    FOI Release Date of Release: 07/02/2020
    FCA provides information on Mifid 2 transaction reporting.

  3. FCA statement on the share trading obligation

    Statements Published: 04/11/2020 Last modified: 29/08/2023
    On 29 August 2023 the STO in Article 23 of UK MiFIR was revoked by the commencement of provisions in the Financial Services and Markets Act 2023.

  4. DRSP regulatory framework

    Firms Markets Markets policy Published: 13/01/2017 Last modified: 19/04/2024
    We provide guides that set out the regulatory framework for UK Data Reporting Service Providers (DRSPs). Find out more about how to use these sources.

  5. Electronification of trading

    Speeches Published: 06/04/2016 Last modified: 06/04/2016
    Speech by Edwin Schooling Latter, Head of Markets Policy, FCA, delivered at the FIX 2016 EMEA Trading Conference. This is the text of the speech as drafted, which may differ from the delivered version.

  6. CP15/28: Quarterly Consultation Paper No. 10

    Consultation papers Published: 04/09/2015 Last modified: 13/01/2017
    Since publishing our consultation, the MiFID II Delegated Regulation has been published and it now makes specific reference to the identification of the subject of a firm’s suitability assessment where ... As such, we concluded that it would not be

  7. Training and competence

    Tasks for regulated firms Published: 12/05/2015 Last modified: 10/02/2023
    Our training and competence regime makes sure the financial services workforce is appropriately qualified and well regulated.

  8. Transaction reporting

    Markets Transaction reporting Published: 29/05/2016 Last modified: 12/01/2024
    We use transaction reports to detect and investigate suspected market abuse. Find out more about the submission of transaction reports and the data they should contain.

  9. Remuneration and performance management of sales staff (SYSC 19F)

    Tasks for regulated firms Published: 23/05/2018 Last modified: 10/02/2023
    FCA provides rules on staff incentives and the remuneration of sales staff and advisers.

  10. Market Watch 72

    Newsletters Published: 11/01/2023 Last modified: 11/01/2023
    In this Market Watch, we outline our recent findings on the quality of service provided by Approved Publication Arrangements (APAs) and Approved Reporting Mechanisms (ARMs), collectively known as Data Reporting Services Providers (DRSPs), to clients