Search results
Showing 42 to 51 of 56 search results for under MiFID II to around 30-35.
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Financial Services Register
To look up details of firms, use The Financial Services Register. The register is a public record that shows details of firms, individuals and other bodies that are, or have been, regulated by the Prudential Regulation Authority (PRA) and/or the Financial Conduct Authority (FCA). -
Competition in the asset management industry: UK experiences, global implications
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Securities Industry and Financial Markets Association's (SIFMA) 2017 Annual Meeting. -
Preparing for Brexit in financial services: the state of play
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at Bloomberg - London -
Challenges for the regulator - consumer credit, long-term savings and an ageing population
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at City Banquet, Mansion House. -
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). -
The vital relationship between the regulator and the advisory industry
Speech by John Griffith-Jones, Chairman of the FCA, at The Association of Professional Financial Advisers (APFA) Annual Gala Dinner delivered at Banking Hall, London. This is the text of the speech as drafted, which may differ from the delivered -
Accomplishments of the last 5 years
Speech by John Griffith-Jones, Chairman, FCA, delivered at an event hosted by TheCityUK at Linklaters LLP, London. -
Brexit and beyond
Speech delivered by Nausicaa Delfas, Executive Director of International at the FCA, at City and Financial, 4th UK Financial Services Brexit Summit. -
How regulation can prepare the ground for economic growth
Speech by Sarah Pritchard, Executive Director, Markets at the City and Financial Global: The Future of UK Financial Services Regulation Summit. -
Partly contested cases, the pipeline and AML investigations
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime. -
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.