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Showing 111 to 120 of 488 search results for under MiFID II.

111. CP15/43: Markets in Financial Instruments Directive II Implementation – Consultation Paper I

     Consultation papers Published: 15/12/2015 Last modified: 22/08/2019
     HM Treasury (The Treasury) consulted on most of the changes to UK legislation required to implement MiFID II in March 2015. ... At the same time, we began our own consultation process and published a discussion paper, DP15/3, about issues where we have

112. Updates to the FCA’s directions under the Temporary Transitional Power

     Press Releases Published: 26/09/2019 Last modified: 26/09/2019
     Today, the Financial Conduct Authority (FCA) has updated and published draft directions under its Temporary Transitional Power (TTP). The TTP gives the FCA flexibility in applying post-Brexit requirements, allowing firms to transition to a new UK

113. 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.

114. Update of position limits for certain commodity derivative contracts

     News stories Published: 05/05/2020 Last modified: 05/05/2020
     The FCA has published updated position limits for certain commodity derivative contracts traded on UK trading venues. The limits have been established under the Markets in Financial Instruments Regulations 2017 (MIFI Regs).

115. Automated advice: existing rules and guidance

     Firms Published: 27/03/2022 Last modified: 10/02/2023
     Before applying for Innovation Pathways, read our existing rules and guidance to check whether your question is covered.

116. FCA fines UBS AG £27.6 million for transaction reporting failures

     Press Releases Published: 19/03/2019 Last modified: 19/03/2019
     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.

117. 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.

118. Personal investment firms that give bad advice to hold capital for redress

     Press Releases Published: 29/11/2023 Last modified: 30/11/2023
     Our proposals to require personal investment firms to set aside capital so that they can cover compensation costs.

119. DRSP authorisation and supervision forms

     Firms Markets Markets policy Published: 13/01/2017 Last modified: 15/12/2022
     We have a number of MAR 9 forms to help your application process. 'Find out about the different data reporting services providers (DRSP) authorisation and supervision documents you may need.

120. 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