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Showing 1 to 10 of 384 search results for provisions in MiFID II.

1. 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

2. Impact Assessment: MiFID II product governance [pdf]

   Impact assessments Published: 01/08/2018
   Extension of MiFID II product governance provisions to non-MiFID firms

3. FCA statement on MiFID II inducements and research

   Statements Published: 26/10/2017 Last modified: 26/10/2017
   The FCA welcomes the announcements made today by the European Commission and the US Securities and Exchange Commission (US SEC) in relation to the MiFID II inducements and research reforms and their interaction with US regulation.

4. 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.

5. MiFID II: retail investment advice firms

   Tasks for regulated firms Published: 09/01/2018 Last modified: 21/12/2022
   A summary of some of the key changes that impact retail investment advice firms, effective from 3 January 2018.

6. MiFID II conference

   News stories Published: 19/09/2014 Last modified: 09/12/2016
   MiFID II conference. News stories First published:. 19/09/2014. Last updated: 09/12/2016. ... The new measures in MiFID II will be implemented on 3 January 2017 and will affect trading venues, investment firms and investors.

7. FCA to ask firms for their views on MiFID II implementation

   Press Releases Published: 26/03/2015 Last modified: 08/11/2016
   The discussion paper requests views on the following topics:. The extent to which the FCA should apply MiFID II provisions to insurance-based investment products and pensions. ... How MiFID II’s requirements on costs and charges disclosure could be

8. The basic advice regime under MiFID II & IDD

   Financial advisers Published: 19/04/2018 Last modified: 16/02/2023
   The FCA explains the update that includes important information for firms selling stakeholder products using basic advice and the impact of MiFID II and IDD.

9. MiFID II wholesale firms conference 2015

   News stories Published: 30/10/2015 Last modified: 11/11/2015
   MiFID II wholesale firms conference 2015. News stories First published:. 30/10/2015. ... See our updates on:. Sign up to receive regular emails about MiFID II.

10. Investor protection under MiFID II

    Speeches Published: 20/10/2015 Last modified: 20/10/2015
    Speech by David Geale, Director of Policy, FCA, delivered at the FCA MiFID II Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.