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Showing 72 to 81 of 274 search results for mifid.
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MiFiD: Regulation of markets in financial instruments
Markets in Financial Instruments Directive (MiFiD) information for investment firms and trading venues. -
CP21/9: Changes to UK MIFID’s conduct and organisational requirements [pdf]
FCA consultation paper (CP21/9) on changes to UK MIFID’s conduct and organisational requirements. -
CP21/7 A new UK prudential regime for MiFID investment firms
We are consulting on our second phase of proposed rules to introduce the UK Investment Firm Prudential Regime (IFPR). IFPR is a new prudential regime for UK firms authorised under the Markets in Financial Instruments Directive (MiFID). -
CP21/7: A new UK prudential regime for MiFID investment firms [pdf]
We are seeking views on the second tranche of our proposed rules to introduce the Investment Firm Prudential Regime. -
PS21/4: Extension of Annual Financial Crime Reporting Obligation
This PS summarises our proposal to increase the number of firms who need to submit the annual financial crime report, which we refer to as ‘REP-CRIM’. -
Breakdown of MDP rejection codes for MIFID RTS22 - March 2021
The FCA provides a breakdown of all MDP rejection codes for MIFID RTS22 Transaction Report rejections for 2018, 2019, 2020. -
Statements of Policy on the operation of the MiFID Transparency Regime - Double Volume Cap [pdf]
This policy was updated to reflect the Double Volume Cap in March 2021. -
MiFID II: product governance review
In this MiFID II review we looked at product governance in a sample of 8 asset management firms. -
Implementing Technology Change
This review sets out the findings from our cross-Financial Services change management review which looked at how financial firms manage technology change, the impact of change failures and the practices utilised within the industry to help reduce -
Information on Alternative Investment Fund Manager (AIFM) populations - February 2021
The FCA provides data on FCA authorised Alternative Investment Fund Manager (AIFM) firms. -
Firms continuing operating in the UK under the Temporary Permissions Regime - February 2021
The FCA provides information about firms that notified the FCA they wished to continue operating in the UK at the end of the Brexit transitional period.