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Showing 71 to 80 of 383 search results for provisions in MiFID II.

  1. FCA fines UBS AG £27.6 million for transaction reporting failures

    Press Releases Published: 19/03/2019 Last modified: 19/03/2019
    UBS AG (UBS) has been fined £27,599,400 by the Financial Conduct Authority (FCA) for failings relating to 135.8 million transaction reports between November 2007 and May 2017.

  2. Investor engagement in a changing regulatory landscape

    Speeches Published: 13/07/2015 Last modified: 14/07/2015
    II. ESMA provided its final advice to the European Commission in December 2014 on detailed proposals to support the new MIFID II Directive, including in the area of research and ... provision of information during book-building in the IPO process best

  3. Brexit and beyond

    Speeches Published: 21/03/2019 Last modified: 21/03/2019
    Speech delivered by Nausicaa Delfas, Executive Director of International at the FCA, at City and Financial, 4th UK Financial Services Brexit Summit.

  4. Challenges for the regulator - consumer credit, long-term savings and an ageing population

    Speeches Published: 04/10/2017 Last modified: 04/10/2017
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at City Banquet, Mansion House.

  5. FCA publishes terms of reference for asset management market study

    Press Releases Published: 18/11/2015 Last modified: 18/11/2015
    the role of investment consultants and potential conflicts of interest arising from the provision of advice and asset management services. ... MIFID II comes into force in the UK on 3 January 2017 and some of its provisions will apply to investment firms

  6. The FCA sees improvements in suitability at wealth managers, but concerns remain

    Press Releases Published: 09/12/2015 Last modified: 09/12/2015
    MiFID II will be coming into force in the UK and some of its provisions will apply to firms providing portfolio management services to retail customers.

  7. Updates to the FCA’s directions under the Temporary Transitional Power

    Press Releases Published: 26/09/2019 Last modified: 26/09/2019
    Today, the Financial Conduct Authority (FCA) has updated and published draft directions under its Temporary Transitional Power (TTP). The TTP gives the FCA flexibility in applying post-Brexit requirements, allowing firms to transition to a new UK

  8. Information on transaction reporting under MiFIR - May 2022

    FOI Release Date of Release: 11/05/2022
    The FCA answers questions regarding transaction reporting under MiFIR.

  9. Preparing for Brexit in financial services: the state of play

    Speeches Published: 16/09/2019 Last modified: 16/09/2019
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at Bloomberg - London

  10. Financial Conduct Authority outlines how it would use the temporary transitional power

    Press Releases Published: 01/02/2019 Last modified: 11/04/2024
    The FCA has set out how it would use the temporary transitional power in the event the UK leaves the EU without an agreement.