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Showing 51 to 60 of 155 search results for transaction reporting under MiFID II.

  1. Information on open FCA enforcement investigations - December 2020

    FOI Release Date of Release: 21/12/2020
    The FCA provides a breakdown by category of all open FCA investigations as at the 23 November 2020.

  2. FCA confirms extension of the Temporary Permission Regime deadline

    Press Releases Published: 24/05/2019 Last modified: 24/05/2019
    The FCA has today confirmed the deadline for notifications for the temporary permissions regime (TPR) will be extended to the end of 30 October 2019. TPR would allow EEA-based firms passporting into the UK to continue new and existing regulated

  3. Effective compliance with the Market Abuse Regulation – a state of mind

    Speeches Published: 14/11/2017 Last modified: 15/11/2017
    Just to give you a flavour of the volumes sizes I am referring to, we currently capture around 20 million transaction reports per day - we estimate this will increase under MiFID ... Many of those capabilities do not necessarily arise from MAR, but from,

  4. Partly contested cases, the pipeline and AML investigations

    Speeches Published: 04/04/2019 Last modified: 04/04/2019
    FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.

  5. Evolving the FCA's approach to markets regulation

    Speeches Published: 19/11/2013 Last modified: 19/11/2013
    Keynote speech by David Lawton, Director of Markets, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

  6. Investor engagement in a changing regulatory landscape

    Speeches Published: 13/07/2015 Last modified: 14/07/2015
    Of course, the debate in relation to the connection between research and dealing commission has now very much moved to the European stage, due to the development of proposals under MIFID ... II. ESMA provided its final advice to the European Commission

  7. FCA calls on firms to act following review of costs and charges disclosure in the investment sector

    Press Releases Published: 28/02/2019 Last modified: 28/02/2019
    The Financial Conduct Authority (FCA) has today published the key findings of supervisory work to assess the effectiveness of disclosure by asset managers and intermediaries, such as wealth managers, to their retail customers. This work was prompted

  8. Asset management market study

    Market studies Published: 18/11/2015 Last modified: 24/09/2018
    We have published the final findings of our asset management market study. As part of this, we set out a package of remedies to address the concerns identified.

  9. CP15/34: Regulatory fees and levies: policy proposals for 2016/17

    Consultation papers Published: 05/11/2015 Last modified: 05/11/2015
    recover the data reporting costs associated with market monitoring under the Markets in Financial Instruments Directive (MiFID II) and Markets in Financial Instrument Regulation (MiFIR). ... levy a 10% discount on fees paid by European Economic Area (EEA)

  10. 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
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