Publications

Showing 52 to 61 of 274 search results for mifid.

52. MiFiD: Regulation of markets in financial instruments

    Markets in Financial Instruments Directive (MiFiD) information for investment firms and trading venues.

53. Information on transaction reporting under MiFIR - May 2022

    FOI releases

    Published: 11/05/2022

    Last modified: 25/10/2022

    The FCA answers questions regarding transaction reporting under MiFIR.

54. MiFID Transparency Waiver Form [docx]

    Forms

    Published: 07/04/2022

    MiFID Transparency Waiver Form

55. CP22/4: Quarterly Consultation Paper No. 35

    Consultation papers

    Published: 04/03/2022

    Last modified: 25/08/2022

    Once a quarter, we consult on proposed miscellaneous amendments to our Handbook.

56. Application under MIFID 4-11-9r additional firm questions [docx]

    Forms

    Published: 11/02/2022

    Application under MiFID 4.11.9R for permission to exclude positions taken to hedge against the adverse effect of the exchange rate on the own funds or an item deducted from capital from net open currency positions for the purpose of article 352 of

57. Application under MIFID 4-14-6r additional firm questions [docx]

    Forms

    Published: 11/02/2022

    Application under MIFIDPRU 4.14.6R for permission to exclude transactions with some counterparties from K-TCD requirement -Additional firm questions.

58. Application under MIFID 4-12-66r additional firm questions [docx]

    Forms

    Published: 11/02/2022

    Application under MIFIDPRU 4.12.66R for permission to use sensitivity models to calculate interest rate risk on derivative instruments in accordance with article 331(1) of the UK CRR – Additional firm questions

59. MDP rejection codes for MIFID RTS22 Transaction Report rejections for 2021 - February 2022

    FOI releases

    Published: 01/02/2022

    Last modified: 25/10/2022

    The FCA provides a breakdown of all MDP rejection codes for MIFID RTS22 Transaction Report rejections for 2021.

60. Article 4 Information Form [docx]

    Forms

    Published: 15/12/2021

    MiFID members of the management body and key function holders - Article 4 Information Form (SMR)

61. Long Form A - MiFID [docx]

    Forms

    Published: 09/12/2021

    Last modified: 28/05/2025

    Long Form A - UK and Overseas Firms (not incoming EEA) for MiFID authorisation applications.

62. PS21/20: Changes to UK MIFID's conduct and organisational requirements [pdf]

    Policy statements

    Published: 30/11/2021

    This Policy Statement summarises the feedback received to CP21/9 and outlines our final position and Handbook rule changes to UK MIFID's conduct and organisational requirements.