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Showing 1 to 11 of 29 search results for will increase under MiFID II to around 30-35.

1. 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).

2. A Better View

   Speeches Published: 20/09/2017 Last modified: 20/09/2017
   Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017

3. 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

4. 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 ... II to around 30-35 million transactions, in excess of 50 million orders

5. 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.

6. Periodic auctions

   Research insights Published: 25/06/2018 Last modified: 28/06/2018
   With MiFID II altering the landscape of equity markets, we take a look at this emerging trading format – with the help of data. 

7. MiFID II and the fight against financial crime

   Speeches Published: 11/07/2018 Last modified: 20/07/2018
   FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.

8. 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.

9. Price: the cornerstone of markets

   Speeches Published: 03/02/2014 Last modified: 18/01/2017
   Speech by David Lawton, Director of Markets of the FCA at the International Capital Market Association (ICMA) Capital Market Lecture Series 2014 on Monday 3 February 2014. This is the text of the speech as drafted, which may differ from the

10. Implementing MiFID II – multi-firm review of research unbundling reforms

    Multi-firm reviews Published: 19/09/2019 Last modified: 19/09/2019
    Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately. These are the findings of our review on how

11. Assessing the value of financial advice

    Speeches Published: 04/12/2017 Last modified: 11/04/2018
    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.