Publications

Showing 121 to 130 of 290 search results for MiFID.

121. MiFID Checklist: Retail [docx]

     Forms

     Published: 09/12/2019

     Last modified: 13/12/2021

     Application for authorisation

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

     Multi-firm reviews

     Published: 19/09/2019

     Last modified: 29/08/2025

     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.

123. mifid-individual-notification-for-change-in-controller.doc [doc]

     Forms

     Published: 16/09/2019

     Last modified: 20/01/2025

     mifid-individual-notification-for-change-in-controller.doc

124. Abnormal Trading Volume Ratio

     Data

     Published: 09/07/2019

     Last modified: 06/01/2026

     In the FCA's 2018/19 Annual Report it published a new measure of market cleanliness – the Abnormal Trading Volume ratio (ATV).

125. PS19/18: Restricting contract for difference products sold to retail clients

     Policy statements

     Published: 01/07/2019

     Last modified: 02/07/2019

     We have finalised rules restricting how CFDs and CFD-like options are sold, marketed, and distributed to retail consumers.

126. Payment for order flow multi-firm review findings

     Multi-firm reviews

     Published: 23/04/2019

     Last modified: 23/04/2019

     This final report on our recent supervisory work on conflicts of interest and payment for order flow (PFOF) follows the preliminary findings published in Market Watch 56 in September 2018.

127. Primary Market Bulletin Issue 23 [pdf]

     Newsletters

     Published: 16/04/2019

     This edition of the FCA’s Primary Market Bulletin covers periodic financial information and inside information, MiFID II rules, the IPO process and prospectus regulation.

128. PS19/11: Product intervention measures for retail binary options

     Policy statements

     Published: 29/03/2019

     Last modified: 29/03/2019

     In this paper, the FCA sets out its final position and Handbook rules to permanently prohibit the sale, marketing and distribution of binary options to retail consumers by firms that carry out activity in, or from, the UK.

129. The Operation of the MiFID Transparency Regime post-Brexit: technical communication [pdf]

     Systems information

     Published: 19/03/2019

130. Supervisory Statement on the Operation of the MiFID Transparency Regime post-Brexit [pdf]

     Policy statements

     Published: 14/03/2019