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Showing 21 to 30 of 489 search results for under MiFID II.

21. PS17/14: Markets in Financial Instruments Directive II implementation – Policy Statement II

    Policy statements Published: 03/07/2017 Last modified: 03/07/2017
    This Policy Statement covers the MiFID II rules of most relevance to consumers. ... Firms must continue with their preparations for the application of MiFID II on 3 January 2018.

22. MiFID II: applications received after 3 July 2017

    News stories Published: 25/07/2017 Last modified: 25/07/2017
    MiFID II applies from 3 January 2018, and will deliver some important changes to financial services regulation in the UK.

23. Independence, confidence and fairness

    Speeches Published: 04/02/2016 Last modified: 04/02/2016
    Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at Bloomberg, in the City of London, on 4 February 2016, London. This is the text of the speech as drafted, which may differ from the delivered version.

24. Trading venues and systematic internalisers – changes in security statuses

    Markets policy Published: 21/12/2017 Last modified: 21/12/2022
    Trading venues and systematic internalisers may have to notify the FCA when there are changes in the status of the securities they trade.

25. Recent developments in financial markets

    Speeches Published: 01/03/2018 Last modified: 09/03/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, at the Association for Financial Markets in Europe (AFME), International Capital Market Association (ICMA) and International Swaps and Derivatives Association (ISDA) breakfast briefing.

26. Where next for investment and asset management regulation?

    Speeches Published: 28/09/2017 Last modified: 02/10/2017
    Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.

27. CP17/34: Joint PRA and FCA form, PRA Rulebook, and FCA Handbook changes - MiFID II, IDD and BMR amendments

    Consultation papers Published: 03/10/2017 Last modified: 03/10/2017
    We are jointly consulting with the PRA on proposed changes to forms used by MiFID investment firms.

28. MiFID II: product governance review

    Multi-firm reviews Published: 26/02/2021 Last modified: 15/04/2021
    In this MiFID II review we looked at product governance in a sample of 8 asset management firms.

29. Effective global regulation in capital markets

    Speeches Published: 05/12/2017 Last modified: 11/04/2018
    Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London

30. Pre-trade transparency waivers [pdf]

    Correspondence Published: 19/12/2016
    On 19 December 2016 ESMA published Q&A on the process of how it delivers opinions to national competent authorities on pre-trade transparency waivers. In light of this we have written to UK operators of trading venues. This letter is relevant to