Search results
Showing 31 to 40 of 155 search results for transaction reporting under MiFID II.
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Review on disclosure of costs by asset managers
We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are. -
FCA fines UBS AG £27.6 million for transaction reporting failures
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. -
Chairman’s speech
Speech by FCA Chairman, John Griffith-Jones, at the Annual Public Meeting, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Assessing the value of financial advice
Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to The Personal Investment Management and Financial Advice Association (PIMFA) in London. -
2015 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2015. -
Statement on the Operation of the MiFID Markets Regime
Read our statement on the operation of the MiFID Markets Regime after the transition period ends. -
A forward look at regulation of the UK’s wholesale financial markets
Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at the ISLA's Post Trade Conference on 16 March. -
FCA announces extension to its use of the temporary transitional power
The Financial Conduct Authority (FCA) today confirmed it intends to extend the proposed duration of the directions issued under the temporary transitional power to the 31 December 2020. This is to reflect the extension of Article 50. Other than the -
Effective global regulation in capital markets
Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London -
Abnormal Trading Volume Ratio
In the FCA's 2018/19 Annual Report it published a new measure of market cleanliness – the Abnormal Trading Volume ratio (ATV).