Publications
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Showing 151 to 160 of 290 search results for MiFID.
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MiFID II Research and Inducement [pdf]
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MiFID II Best Execution [pdf]
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MiFID II Retirement Interest Only Mortgages [pdf]
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Periodic auctions
With MiFID II altering the landscape of equity markets, we take a look at this emerging trading format – with the help of data. -
UK actions under MiFID II Articles 32 and 52 [xlsx]
Publication of UK FCA actions (suspensions, removals and restorations) under MiFID article 32 and 52. -
Outsourcing of Portfolio Management: List of Cooperation Agreements [pdf]
A list of the supervisory authorities in third countries with which we have cooperation agreements. This list can be used by firms to assess their compliance with Article 32(1) of the MiFID Org Regulation. -
Welsh MiFID individual notification change controller form: Hysbysiad am Newid mewn Rheolydd [docx]
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Automated investment services - our expectations
The FCA carried out two reviews, the first looking at firms offering automated online discretionary investment management and the second looked at firms providing retail investment advice exclusively through automated channels. The FCA reports back -
PS18/10: Retiring FG12/15 and FG14/1
This Policy Statement outlines the response to our consultation launched in PS17/25 on the retirement of guidance FG12/15 and FG14/1, and confirms that both FG12/15 and FG14/1 have been retired. -
ANNEX III: Notification form for changes to the membership of the management body [docx]