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Showing 81 to 90 of 383 search results for provisions in MiFID II.
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TR15/12: Wealth management firms and private banks: suitability of investment portfolios
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. -
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. -
Payment for order flow multi-firm review findings
This final report on our recent supervisory work on conflicts of interest and payment for order flow (PFOF) follows the preliminary findings published in Market Watch 56 in September 2018. -
The FCA's response to COVID-19 and expectations for 2020
Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at PIMFA’s Virtual Festival. -
Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR). -
Implementing Technology Change
This review sets out the findings from our cross-Financial Services change management review which looked at how financial firms manage technology change, the impact of change failures and the practices utilised within the industry to help reduce -
Why free trade and open markets in financial services matter
Speech by Andrew Bailey, Chief Executive of the FCA, at Reuters Newsmaker event. -
Free trade in financial services and global regulatory standards: friends not rivals
Speech by Andrew Bailey, Chief Executive of the FCA, at the Economic Council Financial Markets Policy Conference. -
Firms continue to fail to meet our expectations on their use of dealing commission
We summarise our findings from a review that analysed dealing commission expenditure across 31 investment managers (covering asset managers, wealth managers and host-authorised corporate director providers) between 2012 and 2015. -
MiFID II Occupational Pension Scheme (OPS) Firms [pdf]